NJ
Norman W. Jordan
LPL ENTERPRISE
ATLANTA, GA 30326
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CRD#: 1408777
NJ
Professional summary
Norman Wayne Jordan is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Atlanta, Georgia.
Norman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Norman has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1)10/18/2024- Vanderbilt football/Learfield IMG-Radio/ TV/ Podcast-Color analyst for Vanderbilt football radio broadcasts-ATLANTA, GA- NOT INV related-start date 08/31/2024- 24 HRS/MTH -0 during trading
CRS (Client Relationship Summary) - RIA
Click below to view Norman Wayne Jordan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Norman Wayne Jordan'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®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 3343 Peachtree Road, N.e. Suite 700, Atlanta, GA 30326Office #2: 341 Cool Springs Boulevard Suite 130, Franklin, TN 37067RIA
BD
CRD#: 8733
ATLANTA, GA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 3343 Peachtree Road, N.e. Suite 700, Atlanta, GA 30326Office #2: 341 Cool Springs Boulevard Suite 130, Franklin, TN 37067RIA
BD
CRD#: 8733
ATLANTA, GA
Past
June 22, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Franklin, TN
Past
June 21, 2022 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
May 30, 2018 - June 24, 2022
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
NASHVILLE, TN
Past
May 29, 2018 - June 24, 2022
M HOLDINGS SECURITIES, INC.
BD
CRD#: 43285
NASHVILLE, TN
Past
July 7, 2016 - May 1, 2018
AVONDALE PARTNERS, LLC
RIA
CRD#: 46838
NASHVILLE, TN
Past
July 7, 2016 - May 1, 2018
AVONDALE PARTNERS, LLC
BD
CRD#: 46838
NASHVILLE, TN
Past
August 26, 2015 - May 27, 2016
INVEST FINANCIAL CORPORATION
RIA
CRD#: 12984
NASHVILLE, TN
Past
August 26, 2015 - May 27, 2016
INVEST FINANCIAL CORPORATION
BD
CRD#: 12984
NASHVILLE, TN
Past
February 13, 2013 - September 9, 2015
MORGAN STANLEY
RIA
CRD#: 149777
NASHVILLE, TN
Past
February 8, 2013 - September 9, 2015
MORGAN STANLEY
BD
CRD#: 149777
NASHVILLE, TN
Past
August 11, 2010 - January 31, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
RIA
CRD#: 793
NASHVILLE, TN
Past
August 11, 2010 - January 31, 2013
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
NASHVILLE, TN
Past
June 1, 2009 - August 20, 2010
MORGAN STANLEY
RIA
CRD#: 149777
NASHVILLE, TN
Past
June 1, 2009 - August 20, 2010
MORGAN STANLEY
BD
CRD#: 149777
NASHVILLE, TN
Past
April 8, 2004 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
NASHVILLE, TN
Past
January 2, 2002 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NASHVILLE, TN
Past
June 11, 1998 - January 2, 2002
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
October 1, 1985 - June 11, 1998
J.C. BRADFORD & CO.
BD
CRD#: 1287
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/21/2025)
RR
Florida(11/21/2024)
RR
Georgia(11/14/2024)
RR
Kentucky(11/14/2024)
RR
Louisiana(4/22/2025)
RR
Maryland(11/14/2024)
RR
Mississippi(11/14/2024)
RR
North Carolina(11/14/2024)
RR
Tennessee(11/14/2024)
IAR
Tennessee(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 10/26/1993
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
