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Norman R. Sicard

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CRD#: 2269472
NS

Professional summary

Norman R Sicard JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Norman is a previously registered financial advisor and started their career in finance in 1992. Prior to being barred, Norman had worked at 6 firms, which includes BROKER DEALER FINANCIAL SERVICES CORP., B. RILEY WEALTH MANAGEMENT, CAPITAL SECURITIES OF AMERICA INC., WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, JWGENESIS FINANCIAL GROUP INC, CHATFIELD DEAN & CO. INC..

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

May 26, 2011 - December 15, 2016

BROKER DEALER FINANCIAL SERVICES CORP.

BD
CRD#: 8073
WEST DES MOINES, IA
Past

March 1, 2007 - December 10, 2007

B. RILEY WEALTH MANAGEMENT

RIA
CRD#: 2543
ORLANDO, FL
Past

March 1, 2007 - May 31, 2011

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

July 28, 2005 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

RIA
CRD#: 36405
ORLANDO, FL
Past

February 6, 2004 - March 1, 2007

CAPITAL SECURITIES OF AMERICA, INC.

BD
CRD#: 36405
HARTVILLE, OH
Past

January 2, 2001 - February 27, 2004

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 4, 1999 - January 2, 2001

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, FL
Past

August 21, 1992 - January 4, 1999

CHATFIELD DEAN & CO., INC.

BD
CRD#: 14714
GREENWOOD VILLAGE, CO

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: 5/7/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/15/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/15/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/20/1992
General Securities Representative Examination

Current Firm

BD
BROKER DEALER FINANCIAL SERVICES CORP.
BANKERS FINANCIAL SERVICES CORP. | INVESTCENTRAL | D. K. THIELEKE SECURITIES, INC. | BROKER DEALER FINANCIAL SERVICES CORP. | BROKER DEALER FINANCIAL & INSURANCE SERVICES CORP. | BDF INVESTMENTS AND IBA SECURITIES

CRD#: 8073 / SEC#: , 8-24220

BD
Terminated by SEC on 02/07/2019
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 09/14/1979
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BDFSC HOLDINGS CORP.OWNER
SHERWOOD, ROBERT DONALDCFO/TREASURER6699856
SHERZAN, MICHAEL THOMASCHAIRMAN / CHIEF COMPLIANCE OFFICER860793

Disclosures

Regulatory Event4
Arbitration2

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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Company Information

BROKER DEALER FINANCIAL SERVICES CORP.

CRD#: 8073

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