Warrick M. 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.
Warrick Montiercardious Norman, who also goes by Warrick Cardious Montier Norman, was a registered financial professional .
Warrick is a previously registered financial professional and started their career in finance in 1991. Warrick had worked at 11 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 14, 2009 - February 2, 2012
REGENT INVESTMENT ADVISORS, INC.
August 16, 2006 - December 31, 2007
NEWBRIDGE SECURITIES CORPORATION
February 2, 2005 - April 26, 2006
AURA FINANCIAL SERVICES, INC.
July 20, 2001 - December 1, 2003
EMPIRE FINANCIAL GROUP, INC.
June 2, 1997 - July 20, 2001
CENTENNIAL CAPITAL MANAGEMENT, INC.
May 9, 1997 - June 2, 1997
CENTENNIAL CAPITAL MANAGEMENT, INC.
March 14, 1997 - May 12, 1997
WORLD INVEST CORPORATION
March 5, 1997 - June 11, 1997
JOSEPH CHARLES & ASSOC., INC.
February 14, 1997 - April 17, 1997
INVESTACORP, INC.
February 2, 1996 - January 23, 1997
INVESTACORP, INC.
October 27, 1991 - February 5, 1996
MML INVESTORS SERVICES, LLC
March 22, 1991 - September 4, 1991
WS GRIFFITH SECURITIES, INC.
March 22, 1991 - September 4, 1991
HOME LIFE INSURANCE COMPANY
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
REGENT INVESTMENT ADVISORS, INC.
CRD#: 148328 / SEC#:
Contact information
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
