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JN

John M. Norquay

Some features on this profile are disabled
CRD#: 2200429
JN

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.

John Marvin Norquay was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1991. John had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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

September 19, 2008 - September 8, 2010

MIDAMERICA FINANCIAL SERVICES, INC.

BD
CRD#: 47351
MADISON, WI
Past

January 9, 2006 - December 31, 2015

PIVOTPOINT ADVISORS, LLC

RIA
CRD#: 137647
JANESVILLE, WI
Past

December 2, 2005 - September 22, 2008

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
MADISON, WI
Past

September 18, 2000 - January 6, 2006

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MADISON, WI
Past

January 13, 1998 - October 17, 2000

SII INVESTMENTS, INC.

BD
CRD#: 2225
APPLETON, WI
Past

July 29, 1996 - January 12, 1998

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO
Past

March 28, 1996 - July 29, 1996

HARBOUR INVESTMENTS, INC.

BD
CRD#: 19258
MADISON, WI
Past

January 30, 1995 - March 27, 1996

FFP SECURITIES, INC.

BD
CRD#: 16337
CHESTERFIELD, MO
Past

December 13, 1991 - January 20, 1995

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 3/30/2000
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/14/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/12/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/17/1999
General Securities Principal Examination

Current Firm

MF
MIDAMERICA FINANCIAL SERVICES, INC.
MIDAMERICA FINANCIAL SERVICES, INC. | STEELE INVESTMENT SERVICES, INC.

CRD#: 47351 / SEC#: , 8-51758

BD
Terminated by SEC on 01/05/2016
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 04/05/1999
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
S & M, LTD.SHAREHOLDER
DEEMER, BRUCE HARLANSECRETARY4590562
KELLER, MATTHEW BRIANPRESIDENT, CHIEF COMPLIANCE OFFICER5582015

Disclosures

Regulatory Event5

Red Flags

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

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MIDAMERICA FINANCIAL SERVICES, INC.

CRD#: 47351

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