Norman W. Berryessa
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.
Norman William Berryessa was a registered financial advisor .
Norman is a previously registered financial advisor and started their career in finance in 1964. Norman had worked at 11 firms and has passed the Series 65, Series 63, Series 1 and F04 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2005 - September 17, 2007
EMMETT A LARKIN COMPANY, INC.
November 9, 1990 - October 10, 1994
GALLEGOS INSTITUTIONAL INVESTORS CORPORATION
October 14, 1983 - September 17, 2007
EMMETT A LARKIN COMPANY, INC.
June 19, 1983 - December 20, 1984
AETNA LIFE INSURANCE AND ANNUITY COMPANY
April 10, 1978 - October 19, 1983
HOLT & COLLINS
August 23, 1974 - June 22, 1978
PAUL KENDRICK & CO., INC.
October 15, 1973 - October 10, 1974
CONSULTANTS SECURITIES INC
February 20, 1973 - November 29, 1973
PUTNAM FUND DISTRIBUTORS, INC.
July 1, 1971 - December 10, 1973
SWANTON SECURITIES, INC.
January 8, 1971 - July 11, 1971
MFB SECURITIES, INC
March 12, 1970 - January 21, 1972
MERIDIAN SECURITIES CORPORATION
July 2, 1964 - March 10, 1971
CAPITAL PLANNING SERVICES, INC.
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 1
Date: 5/2/1961
Registered Representative ExaminationF04
Date: 8/16/1973
Financial Principal ExaminationCurrent Firm
EMMETT A LARKIN COMPANY, INC.
CRD#: 6625 / SEC#: , 8-11922
Contact information
Documents
Disclosures
| Regulatory Event | 22 |
| Arbitration | 14 |
Red Flags
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