Michael M. Norwood
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.
Michael Morgan Norwood was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1990. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE 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
December 17, 2010 - May 23, 2017
CANTELLA & CO., INC.
December 17, 2010 - May 23, 2017
CANTELLA & CO., INC.
January 2, 2009 - December 13, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 17, 2002 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 25, 2002 - December 13, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 1, 1999 - September 20, 2002
WELLS FARGO CLEARING SERVICES, LLC
November 7, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
September 26, 1996 - November 6, 1997
FIRST UNION BROKERAGE SERVICES, INC.
April 25, 1990 - August 28, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
CANTELLA & CO., INC.
CRD#: 13905 / SEC#: 801-60841, 8-23904
Contact information
Regulatory assets under management
| Total Number of Accounts | 5,665 |
| AUM (Assets Under Management) | $ 1,929,399,963 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 1 |
| Arbitration | 6 |
| Bond | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2023 | ||
| 11/27/2023 |
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.
