Norman Rubin
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 Rubin 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 63 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
February 4, 1998 - March 16, 1998
CADARET, GRANT & CO., INC.
October 1, 1995 - December 31, 1997
VOYA FINANCIAL ADVISORS, INC.
September 18, 1991 - October 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
June 21, 1989 - April 5, 1990
POLARIS FINANCIAL SERVICES, INC.
October 22, 1987 - June 29, 1989
RELIASTAR FINANCIAL MARKETING CORP.
December 23, 1986 - February 25, 1987
FOCUS 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
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 |
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.
