Norman J. Liebowitz
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 Jules Liebowitz, who also goes by Norm Liebowitz, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1986. Norman had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 1998 - May 1, 2017
SPC
June 29, 1995 - May 1, 2017
SIGMA FINANCIAL CORPORATION
August 14, 1990 - June 20, 1995
WORLD INVEST CORPORATION
March 15, 1990 - August 14, 1990
GLOBAL INVESTOR SECURITIES, INC.
April 23, 1986 - March 20, 1990
EQUITY SERVICES, INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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