Norman D. Nystrom
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 Dean Nystrom was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1986. Norman had worked at 17 firms and has passed the Series 65, Series 63, 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
April 19, 2011 - April 9, 2012
PRINCIPAL SECURITIES, INC.
August 14, 2009 - November 3, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 14, 2009 - November 3, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 16, 2005 - July 23, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
May 6, 2005 - June 20, 2006
IDS LIFE INSURANCE COMPANY
May 6, 2005 - July 23, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 2004 - March 7, 2005
WELLS FARGO INVESTMENTS, LLC
August 30, 2004 - March 7, 2005
WELLS FARGO INVESTMENTS, LLC
April 9, 2003 - April 27, 2004
NEW ENGLAND SECURITIES
October 31, 2001 - March 25, 2003
WALNUT STREET SECURITIES, INC.
November 29, 2000 - October 23, 2001
SUNAMERICA SECURITIES, INC.
September 8, 2000 - December 1, 2000
FARMERS FINANCIAL SOLUTIONS, LLC
April 5, 2000 - September 8, 2000
INVESTORS BROKERAGE SERVICES, INC.
April 3, 1998 - December 3, 1998
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
July 14, 1994 - December 31, 1995
WOODBURY FINANCIAL SERVICES, INC.
August 19, 1992 - December 9, 1993
FORTH FINANCIAL SECURITIES, CORPORATION
July 5, 1990 - June 19, 1992
JOHN HANCOCK DISTRIBUTORS LLC
April 17, 1990 - November 13, 1991
TITAN/VALUE EQUITIES GROUP, INC.
March 26, 1987 - November 14, 1989
ROBERT W. BAIRD & CO. INCORPORATED
November 3, 1986 - November 14, 1989
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
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
PRINCIPAL SECURITIES, INC.
CRD#: 1137 / SEC#: 801-54949, 8-13975
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PRINCIPAL FINANCIAL SERVICES, INC. | OWNER | |
| AGRAWAL, VIVEK | DIRECTOR | 8050381 |
| CLAIRE, CHAD THOMAS | CHIEF INFORMATION OFFICER | 7219218 |
| DROGAN, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2760482 |
| FRIEDRICH, AMY CHRISTINE | DIRECTOR | 7097797 |
| LAWLER, CODY ANTHONY | HEAD OF SUPERVISION, HEAD OF OPERATIONS | 5162072 |
| MCCULLUM, KENNETH ALLEN | DIRECTOR | 4695257 |
| MURRAY, MICHAEL FRANCIS | PRESIDENT/CHIEF EXECUTIVE OFFICER/CHAIR | 2074275 |
| RANTS, DOUGLAS JOHN | CHIEF INFORMATION SECURITY OFFICER | 7148529 |
| ROBERTS, DAWN MARIE | CHIEF FINANCIAL OFFICER | 7929617 |
| SCHELHAAS, NATHAN PAUL | DIRECTOR | 7275495 |
| SPADAFORA, CRAIG ALAN | SENIOR VICE PRESIDENT / HEAD OF ADVISORY AND PLATFORM | 3184320 |
| VANWINKLE, DANIEL SIMON | PSI AML OFFICER | 4715191 |
Regulatory assets under management
| Total Number of Accounts | 63,730 |
| AUM (Assets Under Management) | $ 14,827,718,110 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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.
