Norman Frager
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 Frager was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1970. Norman had worked at 9 firms and has passed the Series 63, SIE, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2009 - June 23, 2016
WHEELHOUSE SECURITIES CORPORATION
January 31, 2008 - January 30, 2009
FULCRUM SECURITIES, LLC
June 19, 2001 - January 31, 2008
FLAGSTONE SECURITIES, LLC
March 9, 2000 - June 21, 2001
WYDOWN CAPITAL LLC
November 10, 1998 - August 20, 1999
WALNUT STREET SECURITIES, INC.
July 6, 1995 - September 12, 2011
GEARY SECURITIES, INC.
March 10, 1987 - June 1, 1995
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 6, 1985 - March 17, 1987
UNDERWOOD, NEUHAUS & CO., INCORPORATED
December 15, 1970 - July 31, 1985
SCHERCK, STEIN & FRANC, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 40
Date: 12/5/1970
Registered Principal ExaminationCurrent Firm
WHEELHOUSE SECURITIES CORPORATION
CRD#: 149075 / SEC#: , 8-68105
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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