Norman R. Smith
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Norman Richard Smith, CFP® was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1984. Norman had worked at 2 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 1989
Experience
November 1, 1990 - January 23, 2023
NR SMITH AND ASSOCIATES, P.S.
September 24, 1984 - June 15, 1987
AMERICAN PACIFIC SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NR SMITH AND ASSOCIATES, P.S.
CRD#: 116894 / SEC#: 801-67218
Contact information
Regulatory assets under management
| Total Number of Accounts | 123 |
| AUM (Assets Under Management) | $ 86,066,508 |
Red Flags
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