Norman F. Gottlieb
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.
Norman Fred Gottlieb was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1969. Norman had worked at 10 firms and has passed the Series 55, Series 1, Series 4, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2006 - May 10, 2008
NATIONAL SECURITIES CORPORATION
February 15, 2002 - February 23, 2006
AEGIS CAPITAL CORP.
September 18, 1987 - March 28, 2002
NORMANDY SECURITIES, INC.
December 11, 1984 - October 14, 1987
J. GREGORY & COMPANY, INC.
April 19, 1984 - November 8, 1984
CITIWIDE SECURITIES CORP.
December 23, 1976 - April 23, 1984
DOFT & CO., INC.
September 12, 1973 - December 17, 1976
PHILIPS, APPEL & WALDEN, INC.
December 14, 1972 - September 24, 1973
CANNON JEROLD & CO
January 25, 1971 - November 7, 1973
A. C. KLUGER & CO.
July 24, 1969 - February 7, 1971
WEIS SECURITIES, INC.
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
Series 55
Date: 7/1/2000
Limited Representative-Equity Trader ExamSeries 1
Date: 7/21/1969
Registered Representative ExaminationSeries 00
Date: 6/15/1972
General Securities Principal ExaminationCurrent Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
