Thomas P. Norris

NFI ADVISORS,

NOVI, MI 48377

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CRD#: 1330765

Professional summary

Thomas Phillip Norris, who also goes by Tom Norris, is a registered financial advisor currently at NFI ADVISORS, INC located in Novi, Michigan.

Thomas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Thomas has worked at 8 firms and has passed the Series 65, Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tom Norris

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

MR. NORRIS IS OWNER AND PRESIDENT OF NORRIS FINANCIAL, AN ACCOUNTING AND TAX CONSULTING FIRM.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Phillip Norris's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

July 2, 2010 - Present

NFI ADVISORS, INC

Office #1: 39475 W. 13 Mile Road Suite 102, Novi, MI 48377

RIA

CRD#: 130717

NOVI, MI

Past

December 6, 2004 - April 14, 2008

SIGMA FINANCIAL CORPORATION

CRD#: 14303

SOUTHFIELD, MI

Past

March 21, 2003 - July 15, 2003

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

June 29, 1993 - April 3, 2003

LPL FINANCIAL LLC

RIA

CRD#: 6413

SOUTHFIELD, MI

Past

May 27, 1993 - April 3, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 23, 1990 - May 28, 1993

FIRST OF MICHIGAN CORPORATION

CRD#: 311

DETROIT, MI

Past

January 18, 1989 - March 23, 1990

SMITH, HAGUE & CO., INCORPORATED

CRD#: 777

Past

January 4, 1988 - January 30, 1989

MORGAN STANLEY DW INC.

CRD#: 7556

Past

January 26, 1985 - November 18, 1987

H. B. SHAINE & CO., INC.

CRD#: 374

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Michigan
(7/2/2010)

IAR

Texas
(3/31/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/4/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/25/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/10/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/19/1985

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/11/1993

General Securities Principal Examination

Current Firm

NFI ADVISORS, INC

NFI ADVISORS, INC | PROFESSIONAL PENSION PARTNERS, LLC

CRD#: 130717 / SEC#: 801-63082

RIA

Registered Investment Advisory firm - (7/17/2012 Terminated)

Michigan

Registered Investment Advisory firm - (7/16/2012 Approved)

Texas

Registered Investment Advisory firm - (11/6/2025 Termination Requested)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

39475 W. 13 Mile Rd. Suite 102, Novi, MI 48377-2359

Mailing Address

Phone number

(248) 553-8889

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	110
AUM (Assets Under Management)	$ 44,394,232

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Thomas P. Norris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Phillip Norris's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGMA FINANCIAL CORPORATION

SECURITIES SERVICE NETWORK, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FIRST OF MICHIGAN CORPORATION

SMITH, HAGUE & CO., INCORPORATED

MORGAN STANLEY DW INC.

H. B. SHAINE & CO., INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/4/2010

Series 63

Date: 1/25/1985

Series 3

Date: 11/10/1988

Series 7

Date: 1/19/1985

Series 24

Date: 10/11/1993

Current Firm

NFI ADVISORS, INC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NFI ADVISORS, INC

TRUST BUT VERIFY

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