Norman K. Farra

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CRD#: 2131930

Professional summary

Norman Kirby Farra JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Norman is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Norman had worked at 10 firms, which includes INTERNATIONAL ASSETS ADVISORY LLC, MERRIMAN CAPITAL INC., AEGIS CAPITAL CORP., R. F. LAFFERTY & CO. INC., CRESTA CAPITAL STRATEGIES LLC, GUNNALLEN FINANCIAL INC, WHARTON CAPITAL MARKETS LLC, FIRST UNION CAPITAL MARKETS CORP., FIRST ASSET MANAGEMENT INC., CHATFIELD DEAN & CO. INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 16, 2015 - November 15, 2016

INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645

TAMPA, FL

Past

November 20, 2012 - April 6, 2015

MERRIMAN CAPITAL, INC.

CRD#: 18296

NEW YORK, NY

Past

January 23, 2012 - October 3, 2012

AEGIS CAPITAL CORP.

CRD#: 15007

NEW YORK, NY

Past

February 4, 2010 - December 21, 2011

R. F. LAFFERTY & CO., INC.

CRD#: 2498

NEW YORK, NY

Past

April 10, 2008 - February 4, 2010

CRESTA CAPITAL STRATEGIES, LLC

CRD#: 134488

MELVILLE, NY

Past

July 16, 2001 - October 5, 2007

GUNNALLEN FINANCIAL, INC

CRD#: 17609

WESTGROVE, PA

Past

May 21, 1999 - July 8, 1999

WHARTON CAPITAL MARKETS LLC

CRD#: 44632

NORTH HILLS, NY

Past

November 5, 1996 - February 18, 1997

FIRST UNION CAPITAL MARKETS CORP.

CRD#: 6124

CHARLOTTE, NC

Past

January 24, 1996 - October 23, 1996

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

April 4, 1991 - February 6, 1996

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 1/18/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/15/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/3/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/30/1992

General Securities Principal Examination

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

INTERNATIONAL ASSETS ADVISORY CORPORATION | JANSEN WEALTH MANAGEMENT, LLC | INTERNATIONAL ASSETS ADVISORY, LLC

CRD#: 10645 / SEC#: 801-119029, 8-27736

RIA

Registered Investment Advisory firm - SEC (7/21/2020 Approved)

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Mailing Address

111 North Orange Avenue Suite 1000, Orlando, FL 32801

Phone number

(407) 254-1500

Established

Florida since 07/26/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

IAA FORM ADV PART 2A 1.30.2025 (1/31/2025)

Direct owners and executive officers

Name	Position	CRD#
PECUNIA MANAGEMENT, LLC	OWNER
COFRANCESCO, EDWARD RICHARD	CEO	2305035
LAMPMAN, MATTHEW EDWARD	PRESIDENT/CHIEF OPERATING OFFICER	6132493
MOORE, ANN KATHERINE	CHIEF BUSINESS DEVELOPMENT OFFICER	5535928
NICHOLSON, MYRA PEARLE	CHIEF LEGAL OFFICER, CHIEF RISK OFFICER	2740029
WEINBERGER, DAVID S	REGISTERED OPTIONS PRINCIPAL / CHIEF FINANCIAL OFFICER / CHIEF REGULATORY OFFICER	2676116
WEISS, RICHARD JAY	CHIEF COMPLIANCE OFFICER, CHIEF AML CCO	2523174

Disclosures

Regulatory Event	8
Arbitration	2

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Norman K. Farra

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MERRIMAN CAPITAL, INC.

AEGIS CAPITAL CORP.

R. F. LAFFERTY & CO., INC.

CRESTA CAPITAL STRATEGIES, LLC

GUNNALLEN FINANCIAL, INC

WHARTON CAPITAL MARKETS LLC

FIRST UNION CAPITAL MARKETS CORP.

FIRST ASSET MANAGEMENT, INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

INTERNATIONAL ASSETS ADVISORY, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/18/2005

SIE

Date: 11/15/2016

Series 7

Date: 4/3/1991

Series 24

Date: 11/30/1992

Current Firm

INTERNATIONAL ASSETS ADVISORY, LLC

Contact information

SEC notice filing (1 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INTERNATIONAL ASSETS ADVISORY, LLC

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