Christopher T. Norman
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.
Christopher Thomas Norman was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1990. Christopher had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2001 - December 31, 2002
ROSENTHAL COLLINS SECURITIES, L.L.C
March 24, 1997 - August 3, 2001
GRUNTAL & CO., L.L.C.
March 2, 1995 - February 24, 1997
ALLSTATE FINANCIAL SERVICES, LLC
February 23, 1993 - March 15, 1995
CITICORP INVESTMENT SERVICES
July 2, 1992 - February 24, 1993
CIBC WORLD MARKETS CORP.
March 30, 1992 - June 12, 1992
MATHEWS, HOLMQUIST & ASSOCIATES, INC.
November 5, 1990 - February 11, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 5, 1990 - February 11, 1992
PRUCO SECURITIES, LLC.
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
ROSENTHAL COLLINS SECURITIES, L.L.C
CRD#: 41915 / SEC#: , 8-49629
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ROSENTHAL COLLINS HOLDINGS, L.L.C. | DIRECT OWNER | |
| BYRNE, ROBERT JAMES | MUNICIPAL PRINCIPAL, GENERAL PRINCIPAL OPERATIONS OPTIONS PRINCIPAL | 4421288 |
| OSMANSKI, PETER ANTHONY | GENERAL PRINCIPAL OPTION PRINCIPAL MUNICIPAL PRINCIPAL | 2217490 |
| SPANIAK, GEORGE NICHOLAS JR | FINANCIAL & OPERATIONS PRINCIPAL | 2171494 |
| WALL, THOMAS JEROME | PRESIDENT, GENERAL SECURITIES PRINCIPAL, REGISTERED OPTIONS PRINCIPAL | 1188640 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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