Nora J. Hedges
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.
Nora J Hedges, who also goes by Nora J Brennan, was a registered financial professional .
Nora is a previously registered financial professional and started their career in finance in 1989. Nora had worked at 4 firms and has passed the Series 99TO, SIE, Series 7, Series 6, Series 26 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2000 - November 1, 2005
GREENWOOD INVESTMENTS, LLC
January 3, 1997 - May 6, 1997
ONE ORCHARD EQUITIES, INC.
April 16, 1991 - May 2, 2022
EMPOWER FINANCIAL SERVICES, INC.
November 24, 1989 - January 3, 1997
THE GREAT-WEST LIFE ASSURANCE COMPANY
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
GREENWOOD INVESTMENTS, LLC
CRD#: 45646 / SEC#: , 8-51122
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GW CAPITAL MANAGEMENT, LLC | SOLE SHAREHOLDER | |
| BYRNE, BEVERLY ANN | SECRETARY | 1983774 |
| DERBACK, GLEN RAY | TREASURER | 1330783 |
| LUIZ, TERESA LYNN | CHIEF COMPLIANCE OFFICER | 1573186 |
| MAIERS, MARY CAROL | ASSISTANT TREASURER | 4468209 |
| MCDONALD, GRAHAM RICHARD | PRESIDENT AND CHAIRMAN OF THE BOARD | 1250661 |
| MCLEOD, DAVID GEORGE | DIRECTOR | 3041563 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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