Norma I. Morgan
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.
Norma Iris Morgan, who also goes by Norma Iris Carmona, was a registered financial professional .
Norma is a previously registered financial professional and started their career in finance in 1989. Norma had worked at 9 firms and has passed the 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 19, 2005 - May 12, 2016
CREDIT SUISSE SECURITIES (USA) LLC
February 1, 1999 - December 16, 2004
DEUTSCHE BANK SECURITIES INC.
January 9, 1997 - May 12, 1997
UBS FINANCIAL SERVICES INC.
August 29, 1995 - November 22, 1996
TUCKER ANTHONY INCORPORATED
June 21, 1995 - August 30, 1997
M.S. FARRELL & COMPANY, INC.
January 14, 1994 - August 30, 1994
BRENNER SECURITIES CORPORATION
June 30, 1993 - July 22, 1993
DUKE & CO., INC.
January 29, 1993 - June 29, 1993
GRUNTAL & CO., L.L.C.
August 2, 1991 - February 4, 1993
KIDDER, PEABODY & CO. INCORPORATED
January 15, 1990 - June 28, 1991
GRUNTAL & CO., L.L.C.
May 23, 1989 - January 31, 1990
KIDDER, PEABODY & CO. 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
CREDIT SUISSE SECURITIES (USA) LLC
CRD#: 816 / SEC#: 801-56264, 8-422
Contact information
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 805,275,346 |
Disclosures
| Regulatory Event | 322 |
| Civil Event | 8 |
| Arbitration | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/28/2025 | ||
| 10/26/2023 | ||
| 01/25/2023 |
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.
