Norman M. Lindo
Professional summary
Norman Michael Lindo 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 professional and started their career in finance in 1992. Prior to being barred, Norman had worked at 7 firms, which includes WADDELL & REED, VOYA FINANCIAL PARTNERS LLC, HENNION & WALSH INC., LEBENTHAL & CO. INC., PRUCO SECURITIES LLC., FORESTERS FINANCIAL SERVICES INC., CHATFIELD DEAN & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2001 - February 12, 2002
WADDELL & REED
February 10, 1999 - July 12, 2000
VOYA FINANCIAL PARTNERS, LLC
April 9, 1997 - May 15, 1997
HENNION & WALSH, INC.
March 21, 1995 - July 25, 1995
LEBENTHAL & CO., INC.
September 30, 1993 - August 29, 1994
PRUCO SECURITIES, LLC.
March 24, 1993 - July 15, 1993
FORESTERS FINANCIAL SERVICES, INC.
November 27, 1992 - December 15, 1992
CHATFIELD DEAN & CO., 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
Current Firm
WADDELL & REED
CRD#: 866 / SEC#: 801-16720, 8-27030
Contact information
FINRA licenses (1 States and Territories)
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
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