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Norman Dino Villarina

CRD# 1696520·Registered 1987 - 2009
Previously Registered: Being a previously registered professional could mean that Norman 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.

Professional Summary

Norman Dino Villarina was a registered financial advisor. Norman was a previously registered financial professional and started their career in finance 1987 - 2009. Norman had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 3 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

39 years in the financial services industry

Current & Past Employments

Past

BRADLEY WOODS & CO. LTD.Past·CRD# 13660
BD
New York, NY
August 16, 2004 - September 15, 2015
BERKELEY CAPITAL ADVISERS, LLCPast·CRD# 136663
RIA
San Francisco, CA
January 24, 2006 - May 3, 2012
BERKELEY CAPITAL SECURITIES, L.L.C.Past·CRD# 136982
BD
Grass Valley, CA
February 6, 2006 - September 14, 2009
INDUSTRY CAPITAL ADVISERSPast·CRD# 127281
RIA
Berkeley, CA
September 15, 2003 - October 27, 2005
LEHMAN BROTHERS INC.Past·CRD# 7506
BD
April 11, 1988 - August 3, 1990
E. F. HUTTON & COMPANY INCPast·CRD# 235
BD
July 23, 1987 - April 11, 1988

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Current Firm

BC
BERKELEY CAPITAL SECURITIES, L.L.C.

BERKELEY CAPITAL SECURITIES, L.L.C.

CRD#: 136982 / SEC#: 8-67060
BD
Terminated by SEC on 02/11/2012

Contact Information

Established

Delaware since 06/17/2005

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
BERKELEY ADVISORS GROUP, LLCOWNER—
GODINEZ, DAVID GREGORYCCO, CEO, EXECUTIVE REPRESENTATIVE2086793
WU, KINGSTON KCFO, FINOP5635527

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2004About the Series 63 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 2003About the Series 65 exam

SIE — Securities Industry Essentials Examination

Passed Sep 2015About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2004About the Series 7 exam

Series 3 — National Commodity Futures Examination

Passed Jul 1987About the Series 3 exam

Series 24 — General Securities Principal Examination

Passed Sep 2004About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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