Norman L. Escoffery
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 Lockland Escoffery, who also goes by Norman L Escoffery, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1992. Norman had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2014 - February 4, 2016
CHIMERA SECURITIES, LLC
June 6, 2012 - January 13, 2014
WP ASSET MANAGEMENT LLC
February 29, 2012 - March 14, 2013
WEDGE SECURITIES, LLC
November 18, 2010 - January 19, 2012
CITIGROUP GLOBAL MARKETS INC.
October 27, 1995 - August 29, 1997
DEAM INVESTOR SERVICES, INC.
September 23, 1992 - February 28, 1995
BNY MELLON SECURITIES CORPORATION
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
CHIMERA SECURITIES, LLC
CRD#: 147566 / SEC#: , 8-67915
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
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.
