Norman E. Clarke
Professional summary
Norman Ellsworth Clarke is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Norman is registered as a RR (Registered Representative) and started their career in finance in 1985. Norman has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Norman Ellsworth Clarke's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 16, 2022 - Present
FINALIS SECURITIES LLC
Office #1: 228 Park Ave South Suite 85550, New York, NY 10003February 2, 2011 - February 27, 2020
PENATES GROUP, INC.
March 23, 2009 - November 10, 2010
WM. H. MURPHY & CO., INC.
April 21, 2008 - January 9, 2009
STARLIGHT FUNDING INVESTMENTS, LLC
January 8, 1985 - January 6, 1986
INDIVIDUALS' FINANCIAL SERVICES, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/26/2022)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FINALIS, INC. | HOLDING COMPANY | |
| AZARY, DENNIS MICHAEL | CEO/CCO/FINOP | 2384263 |
Red Flags
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