Conrad N. Normann
Professional summary
Conrad Neil Normann was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Conrad is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Conrad had worked at 11 firms, which includes AVATAR SECURITIES LLC, TAFFERER TRADING LLC, SANDERS MORRIS LLC, DRU STOCK INC., HAGGERTY & CO. LLC, LABRANCHE FINANCIAL SERVICES LLC, HAGGERTY KEVIN GASPAR, SIG BROKERAGE LP, FIRST OPTIONS OF CHICAGO INC., SEAPORT SECURITIES CORP., FLEET BROKERAGE SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2011 - November 2, 2018
AVATAR SECURITIES, LLC
September 8, 2009 - November 8, 2011
TAFFERER TRADING, LLC
December 14, 2007 - September 9, 2009
SANDERS MORRIS LLC
March 8, 2006 - October 3, 2007
DRU STOCK, INC.
November 2, 2005 - March 7, 2006
TAFFERER TRADING, LLC
June 3, 2005 - November 21, 2005
HAGGERTY & CO., LLC
August 27, 2003 - October 11, 2005
LABRANCHE FINANCIAL SERVICES, LLC
July 9, 2003 - June 2, 2005
HAGGERTY, KEVIN GASPAR
October 1, 2000 - July 18, 2003
SIG BROKERAGE, LP
November 24, 1992 - December 23, 1992
FIRST OPTIONS OF CHICAGO, INC.
October 29, 1992 - December 14, 1992
SEAPORT SECURITIES CORP.
July 6, 1992 - October 7, 1992
FLEET BROKERAGE SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Series 25
Date: 3/30/1999
NYSE Trading Assistant ExaminationCurrent Firm
AVATAR SECURITIES, LLC
CRD#: 147763 / SEC#: , 8-67932
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AVATAR TRADING GROUP, LLC | HOLDING CO. | |
| DEETER, MISHA BODHI | MEMBER | 5132163 |
| BROWSKI, ANDREW CHARLES | CHIEF COMPLIANCE OFFICER/PRINCIPAL OPERATIONS OFFICER | 5778834 |
| HOLLAND, RAYMOND F | CO-MANAGING MEMBER | 5509397 |
| KATHWARI, OMAR FAROOQ | CO-MANAGING MEMBER | 5509343 |
| SLOAN NOWAK, JACQUELINE LEE | FINOP/PRINCIPAL FINANCIAL OFFICER | 2717305 |
Disclosures
| Regulatory Event | 1 |
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