Norman R. Auger

ALTA STRADA WEALTH MANAGEMENT

LINCOLN, NE

Some features on this profile are disabled

CRD#: 2434378

Professional summary

Norman Ralph Auger III, who also goes by Norman Auger III, is a registered financial advisor currently at ALTA STRADA WEALTH MANAGEMENT located in Lincoln, Nebraska.

Norman is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Norman has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Norman Auger Iii

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norman Ralph Auger III's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

November 14, 2025 - Present

ALTA STRADA WEALTH MANAGEMENT

RIA

CRD#: 665

LINCOLN, NE

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Nebraska
(12/2/2025)

IAR

Texas
(11/14/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/3/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/26/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/19/1994

General Securities Representative Examination

Current Firm

ALTA STRADA WEALTH MANAGEMENT

ALTA STRADA WEALTH MANAGEMENT | ALTA STRADA WEALTH PARTNERS, LLC

CRD#: 337545 / SEC#:

Nebraska

Registered Investment Advisory firm - (8/26/2025 Approved)

Texas

Registered Investment Advisory firm - (10/23/2025 Conditional Restricted)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Lincoln, NE

Mailing Address

Phone number

(531) 229-1993

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	54
AUM (Assets Under Management)	$ 52,660,140

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Norman R. Auger

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norman Ralph Auger III's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

PIPER SANDLER & CO.

PIPER SANDLER & CO.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/3/1996

Series 63

Date: 1/26/1994

SIE

Date: 10/1/2018

Series 7

Date: 1/19/1994

Current Firm

ALTA STRADA WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ALTA STRADA WEALTH MANAGEMENT

TRUST BUT VERIFY

Similar Advisors