Roy 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.
Roy Arendal Norman, who also goes by Roy Arendae Norman, Roy Arendle Norman, Roy Norman, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1986. Roy had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2011 - July 3, 2025
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
September 24, 2010 - July 3, 2025
GARDEN STATE SECURITIES, INC.
February 6, 2007 - October 5, 2010
NORTHEAST ASSET MANAGEMENT LLC
May 23, 2006 - January 22, 2007
NORTHEAST ASSET MANAGEMENT LLC
August 2, 2004 - October 1, 2010
NORTHEAST SECURITIES, LLC
March 17, 2003 - July 14, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 8, 2000 - April 15, 2003
LPL FINANCIAL LLC
August 1, 1996 - April 15, 2003
LPL FINANCIAL LLC
July 1, 1993 - August 26, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 1990 - June 22, 1993
PRUDENTIAL EQUITY GROUP, LLC
December 19, 1988 - March 5, 1990
LEHMAN BROTHERS INC.
August 20, 1986 - December 7, 1988
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
CRD#: 133088 / SEC#: 801-79500
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
Series 8
Date: 4/25/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GARDEN STATE INVESTMENT ADVISORY SERVICES, LLC
CRD#: 133088 / SEC#: 801-79500
Contact information
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,122 |
| AUM (Assets Under Management) | $ 561,548,738 |
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.
