Jeffrey M. Norgart
Professional summary
Jeffrey Michael Norgart, who also goes by Jeff Michael Norgart, is a registered financial professional currently at PATRICK CAPITAL MARKETS, LLC located in Irvine, California.
Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1994. Jeffrey has worked at 12 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Michael Norgart's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 28, 2015 - Present
PATRICK CAPITAL MARKETS, LLC
October 13, 2014 - July 7, 2015
CAPE SECURITIES INC.
March 22, 2012 - October 23, 2012
INNOVATION PARTNERS LLC
January 6, 2009 - November 22, 2011
FORESIDE GLOBAL SERVICES, LLC
July 8, 2008 - December 31, 2008
FORESIDE FUNDS DISTRIBUTORS LLC
April 20, 2007 - October 22, 2007
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
January 11, 2005 - October 27, 2006
TRANSAMERICA CAPITAL, LLC
October 23, 2003 - December 3, 2004
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 9, 2003 - October 1, 2003
GLOBAL ATLANTIC DISTRIBUTORS, LLC
December 5, 2000 - July 3, 2003
TRANSAMERICA CAPITAL, LLC
May 1, 1996 - December 12, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 12, 1994 - October 9, 1995
CAPITAL BROKERAGE CORPORATION
January 21, 1994 - October 4, 1994
AMERICAN GENERAL EQUITY SERVICES 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
(10/5/2015)
(8/31/2015)
Exams
FINRA
Current Firm
PATRICK CAPITAL MARKETS, LLC
CRD#: 16518 / SEC#: , 8-34099
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SAXONY FINANCIAL HOLDINGS, LLC. | SOLE OWNER/ MEMBER | |
| CLARK, BRIAN LESLEY | PRESIDENT, CEO, AND CFO | 4802438 |
| KLUMP, RYAN CHRISTOPHER | SENIOR VICE PRSIDENT | 4762698 |
| MATARAZZI, NATHAN DOMENICO | FINOP, POO AND PFO | 4827090 |
| MITCHELL, JARAD BYRAM | COO | 4811305 |
| WEBSTER, TERRANCE MICHAEL | CHIEF COMPLIANCE OFFICER | 6826889 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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