Norbert W. Foxx
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.
Norbert William Foxx, who also goes by Norb Foxx, Norbert Fuchs, was a registered financial professional .
Norbert is a previously registered financial professional and started their career in finance in 1967. Norbert had worked at 7 firms and has passed the Series 63, SIE, PC, Series 1 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
June 27, 2003 - May 11, 2015
SUMMIT BROKERAGE SERVICES, INC.
January 3, 2002 - July 3, 2003
FIRST SECURITY INVESTMENTS, INC.
November 9, 1995 - December 31, 2001
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
August 15, 1989 - November 21, 1995
UBS FINANCIAL SERVICES INC.
September 30, 1976 - August 16, 1989
THOMSON MCKINNON SECURITIES INC.
February 15, 1972 - October 21, 1976
BLYTH EASTMAN DILLON & CO. INCORPORATED
April 10, 1967 - March 24, 1972
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 8/6/1982
AMEX Put and Call ExamSeries 1
Date: 4/7/1967
Registered Representative ExaminationCurrent Firm
SUMMIT BROKERAGE SERVICES, INC.
CRD#: 34643 / SEC#: , 8-46310
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUMMIT FINANCIAL SERVICES GROUP, INC. | HOLDING COMPANY FOR APPLICANT | |
| BONNEAU, CATHERINE MCCORMACK | CHIEF OPERATING OFFICER | 2899706 |
| FRAM, FREDERICK GORDON | CHIEF COMPLIANCE OFFICER AND SECRETARY | 1701062 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBS, STEVEN CRAIG | VICE PRESIDENT AND PRINCIPAL FINANCIAL OFFICER | 1676431 |
| KESTERSON, BARBARA JO | PRINCIPAL OPERATIONS OFFICER | 2747533 |
| LEEDS, MARSHALL TODD | DIRECTOR, CHIEF EXECUTIVE OFFICER AND PRESIDENT | 1014569 |
| NEARY, JOSEPH DANIEL | MANAGER | 2993505 |
| OLSON, GREGORY ALAN | ASSISTANT SECRETARY | 2692482 |
| SHELSON, MARK PAUL | TREASURER | 1819252 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 5 |
Red Flags
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