Norman A. Karson
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 Allen Karson, who also goes by Norm Allen Karson, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1993. Norman had worked at 13 firms and has passed the Series 65, Series 63, SIE 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
April 19, 2018 - June 7, 2018
USAA INVESTMENT SERVICES COMPANY
April 18, 2018 - June 7, 2018
USAA FINANCIAL ADVISORS, INC.
December 16, 2014 - December 14, 2017
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
September 8, 2009 - March 9, 2012
LPL FINANCIAL LLC
September 8, 2009 - August 1, 2017
LPL FINANCIAL LLC
August 25, 2009 - November 17, 2014
GALLACHER CAPITAL MANAGEMENT, LLC
January 23, 2008 - September 8, 2009
MUTUAL SERVICE CORPORATION
August 14, 2007 - September 8, 2009
MUTUAL SERVICE CORPORATION
December 17, 2001 - August 3, 2007
FORESTERS FINANCIAL SERVICES, INC.
September 14, 2000 - July 10, 2001
CHARLES SCHWAB & CO., INC.
May 3, 2000 - August 8, 2000
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
December 22, 1998 - January 21, 1999
MORGAN STANLEY DW INC.
April 8, 1998 - December 10, 1998
FOX & COMPANY INVESTMENTS INC.
June 21, 1996 - August 30, 1996
WELLS FARGO SECURITIES INC.
August 2, 1993 - July 28, 1994
RAUSCHER PIERCE REFSNES, INC.
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
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
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
