Norman S. Macqueen

THRIVE WEALTH MANAGEMENT

Audubon, PA 19403

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CRD#: 1495092

Professional summary

Norman Shaw Macqueen III, who also goes by Norman Shaw III Macqueen, is a registered financial advisor currently at THRIVE WEALTH MANAGEMENT, LLC located in Audubon, Pennsylvania.

Norman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. Norman has worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Norman Shaw Iii Macqueen

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.

InFaith: Investment-related: Yes; Exton, Pennsylvania; Faith-based ministry and missions; Investment Committee Chair and Trustee; Start date: June 2022; Approximately 1 hour per week

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norman Shaw Macqueen III's CRS (Customer Relationship Summary).

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

May 27, 2015 - Present

THRIVE WEALTH MANAGEMENT, LLC

Office #1: 1000 Madison Avenue Suite 208, Audubon, PA 19403

RIA

CRD#: 168777

Audubon, PA

Past

September 17, 2002 - October 9, 2003

MCGINN, SMITH & CO., INC.

CRD#: 8453

ALBANY, NY

Past

November 27, 2000 - April 30, 2015

NORTHEAST ADVISERS, INC.

RIA

CRD#: 108835

PAOLI, PA

Past

October 27, 1999 - May 22, 2000

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

April 25, 1997 - January 29, 1998

MAFG RIA SERVICES, INC.

CRD#: 35690

MT. LAUREL, NJ

Past

September 21, 1992 - April 16, 1996

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

September 7, 1989 - February 26, 1992

VANGUARD MARKETING CORPORATION

CRD#: 7452

MALVERN, PA

Past

May 22, 1986 - October 30, 1986

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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".

THRIVE WEALTH MANAGEMENT, LLC

CRD#: 168777 / SEC#: 801-108388

RIA

Registered Investment Advisory firm - (9/13/2016 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/5/2016 Terminated)

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).

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

Pennsylvania
(5/27/2015)

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: 5/6/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/22/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 6/13/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/5/1989

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/27/1995

General Securities Principal Examination

Current Firm

THRIVE WEALTH MANAGEMENT, LLC

CRD#: 168777 / SEC#: 801-108388

RIA

Registered Investment Advisory firm - (9/13/2016 Approved)

Pennsylvania

Registered Investment Advisory firm - (12/5/2016 Terminated)

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Contact information

Main Address

1000 Madison Avenue Suite 208, Audubon, PA 19403

Mailing Address

Phone number

(215) 376-5530

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

THRIVE WEALTH MANAGEMENT DISCLOSURE BROCHURE (2/13/2025)

Regulatory assets under management

Total Number of Accounts	2,812
AUM (Assets Under Management)	$ 1,322,350,025

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/15/2024	Cover Page	Report
05/29/2024	Cover Page	Report
04/06/2023	Cover Page	Report
02/22/2022	Cover Page	Report

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

Norman S. Macqueen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norman Shaw Macqueen III's CRS (Customer Relationship Summary).

Certified licenses

Experience

MCGINN, SMITH & CO., INC.

NORTHEAST ADVISERS, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

MAFG RIA SERVICES, INC.

SEI INVESTMENTS DISTRIBUTION CO.

VANGUARD MARKETING CORPORATION

FORESTERS FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

THRIVE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/6/1994

Series 63

Date: 4/22/1994

Series 7

Date: 6/13/1994

Series 6

Date: 9/5/1989

Series 24

Date: 2/27/1995

Current Firm

THRIVE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

THRIVE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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