Daniel A. Norman
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.
Daniel Allen Norman, who also goes by Dan Norman, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1986. Daniel had worked at 4 firms and has passed the Series 63, Series 7, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2010 - June 15, 2012
VOYA INVESTMENTS DISTRIBUTOR, LLC
December 14, 2009 - March 26, 2010
ING INVESTMENT MANAGEMENT SERVICES LLC
March 9, 1995 - April 21, 2008
VOYA INVESTMENTS DISTRIBUTOR, LLC
November 11, 1991 - December 31, 1993
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
February 19, 1986 - January 1, 1992
MONACO SECURITIES, INC.
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
VOYA INVESTMENTS DISTRIBUTOR, LLC
CRD#: 37886 / SEC#: , 8-48020
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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