Suzanne E. Norman
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.
Suzanne Elizabeth Norman, CIMA® was a registered financial professional .
Suzanne is a previously registered financial professional and started their career in finance in 1992. Suzanne had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3 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
December 27, 2019 - March 19, 2021
MILLIMAN INVESTMENT MANAGEMENT SERVICES LLC
February 18, 2013 - December 31, 2019
NORTHERN LIGHTS DISTRIBUTORS, LLC
December 5, 2011 - February 28, 2012
SANFORD C. BERNSTEIN & CO., LLC
December 5, 2011 - February 28, 2012
SANFORD C. BERNSTEIN & CO., LLC
December 8, 2005 - January 11, 2013
ALLIANCEBERNSTEIN L.P.
December 8, 2005 - November 18, 2011
ALLIANCEBERNSTEIN INVESTMENTS, INC.
April 28, 2004 - November 11, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2003 - November 11, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 6, 1996 - June 10, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 1993 - December 5, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 11, 1992 - August 9, 1993
WELLS FARGO SECURITIES INC.
April 23, 1992 - May 20, 1992
LIGHT SECURITIES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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Exams
Series 7TO
Date: 3/17/2024
General Securities Representative ExaminationCurrent Firm
MILLIMAN INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 292521 / SEC#: , 8-70078
Contact information
FINRA licenses (49 States and Territories)
Documents
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.
