Norman F. Anderson
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 Frederick Anderson was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 2003. Norman had worked at 3 firms and has passed the 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
January 18, 2017 - November 6, 2017
SPHINX TRADING, LP
February 9, 2009 - December 26, 2017
EQUITEC PROPRIETARY MARKETS, LLC
October 22, 2003 - December 18, 2006
EQUITEC PROPRIETARY MARKETS, LLC
September 26, 2003 - February 2, 2009
EQUITEC SPECIALISTS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
SPHINX TRADING, LP
CRD#: 33019 / SEC#: , 8-42017
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KUEHNER, CHRISTOPHER JOSEPH | CHIEF COMPLIANCE OFFICER | 2337409 |
Disclosures
| Regulatory Event | 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.
