Norman H. Russick
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 Harley Russick II, who also goes by Norm Russick II, Norman Harley Ii Russick, was a registered financial advisor .
Norman is a previously registered financial advisor and started their career in finance in 1986. Norman had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2006 - February 28, 2007
ALLIED BEACON PARTNERS, INC.
February 20, 2004 - February 10, 2006
ONEAMERICA SECURITIES, INC.
February 25, 1997 - February 3, 2004
NEW ENGLAND SECURITIES
February 12, 1997 - February 3, 2004
NEW ENGLAND SECURITIES
February 7, 1996 - January 24, 1997
NATHAN & LEWIS SECURITIES, INC.
October 14, 1993 - February 23, 1994
NORTH AMERICAN MANAGEMENT, INC.
February 26, 1988 - December 31, 1992
PFS INVESTMENTS INC.
October 31, 1986 - May 29, 1987
BLINDER, ROBINSON & CO., 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
ALLIED BEACON PARTNERS, INC.
CRD#: 46227 / SEC#: , 8-51357
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BEACON AQUISITION PARTNERS, INC | SHAREHOLDER | |
| MATHER, ROBERT PHILIP | PRESIDENT, CEO, CCO, CFO AND CORPORATE SECRETARY | 1764918 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 2 |
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.
