Norbert D. Rudek

NONE

PANAMA CITY, FL 32401

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CRD#: 2021532

Professional summary

Norbert Daniel Rudek is a registered financial advisor currently at NONE located in Panama City, Florida.

Norbert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1996. Norbert has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norbert Daniel Rudek's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

April 21, 2003 - Present

NONE

Office #1: 747 Jenks Ave Suite A, Panama City, FL 32401

RIA

CRD#: 124698

PANAMA CITY, FL

Past

February 28, 2003 - March 28, 2014

CFPS, INC.

RIA

CRD#: 124022

WASHINGTON, MO

Past

October 12, 2002 - March 27, 2014

CENTURION SECURITIES CORPORATION

CRD#: 40405

WASHINGTON, MO

Past

August 14, 1998 - October 11, 2002

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

PANAMA CITY, FL

Past

August 12, 1998 - October 11, 2002

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

July 12, 1996 - February 2, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Florida
(4/21/2003)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/24/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/24/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/11/1996

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 12/19/1989

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 2/11/2008

General Securities Principal Examination

Current Firm

NONE

NONE | PORTFOLIO INCOME ADVISERS, INC

CRD#: 124698 / SEC#:

California

Registered Investment Advisory firm - (5/13/2019 Terminated)

Florida

Registered Investment Advisory firm - (4/21/2003 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

747 Jenks Avenue, Suite A, Panama City, FL 32401

Mailing Address

P.o. Box 906, Panama City, FL 32402

Phone number

(850) 215-4110

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	20
AUM (Assets Under Management)	$ 3,038,387

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.

Contact information

xxxxx@xxxx.xxx

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Norbert D. Rudek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norbert Daniel Rudek's CRS (Customer Relationship Summary).

Certified licenses

Experience

CFPS, INC.

CENTURION SECURITIES CORPORATION

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 7/24/1996

Series 63

Date: 7/24/1996

Series 7

Date: 7/11/1996

Series 3

Date: 12/19/1989

Series 24

Date: 2/11/2008

Current Firm

NONE

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NONE

TRUST BUT VERIFY

Contact information

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