Michael J. Norris
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.
Michael John Norris, who also goes by Mike Norris, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 7 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
June 9, 2016 - July 2, 2018
TRANSFORM WEALTH, LLC
November 24, 2015 - June 9, 2016
CARNICK & KUBIK, LLC
February 3, 2006 - July 10, 2015
VALUED INVESTMENT PARTNERS, LLC
January 1, 1999 - February 15, 2006
NORRIS ADVISORY SERVICES
May 29, 1992 - January 18, 1995
OSAIC WEALTH, INC.
March 9, 1992 - June 12, 1992
IDS LIFE INSURANCE COMPANY
March 9, 1992 - June 12, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSFORM WEALTH, LLC
CRD#: 283403 / SEC#: 801-107796
Contact information
Regulatory assets under management
| Total Number of Accounts | 1,810 |
| AUM (Assets Under Management) | $ 3,377,136,557 |
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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