David J. Norwood
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.
David James Norwood, who also goes by David Norwood, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 6 firms and has passed the Series 66, 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
January 31, 2012 - October 1, 2012
WADDELL & REED
January 31, 2012 - October 1, 2012
WADDELL & REED
October 27, 2011 - November 8, 2011
VOYA FINANCIAL ADVISORS, INC.
October 17, 2011 - November 8, 2011
VOYA FINANCIAL ADVISORS, INC.
March 25, 2011 - July 18, 2011
VALIC FINANCIAL ADVISORS, INC.
March 7, 2011 - July 18, 2011
VALIC FINANCIAL ADVISORS, INC.
November 17, 2010 - March 7, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 17, 2010 - March 7, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 14, 1992 - August 11, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
November 30, 1992 - July 3, 2006
IDS LIFE INSURANCE COMPANY
November 30, 1992 - August 11, 2010
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
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WADDELL & REED FINANCIAL SERVICES, INC. | SHAREHOLDER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHAIRMAN OF THE BOARD | 4003349 |
| DALEY, MICHAEL JOHN | VP AND FINANCIAL AND OPERATIONS PRINCIPAL | 6923129 |
| HANSEN, ELIZABETH ANN | SVP AND CHIEF COMPLIANCE OFFICER | 2199658 |
| HORAN-ADAMS, KIRBY LEPAK | EXECUTIVE VICE PRESIDENT | 5097259 |
| KRAMPER, MATTHEW SCOTT | VP AND PRINCIPAL OPERATIONS OFFICER | 2750651 |
| MIHAL, SHAWN MICHAEL | EXECUTIVE VICE PRESIDENT | 3262384 |
| MITCHELL, CHRISTOPHER MILLS | ASSISTANT TREASURER | 2420144 |
| OROSCHAKOFF, MICHELLE | VICE-CHAIRMAN OF THE BOARD | 2403199 |
| SIMONICH, BRENT BLAIN | TREASURER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Civil Event | 1 |
| Arbitration | 11 |
| Bond | 3 |
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.
