Norma L. Richardson
Professional summary
Norma Lynn Richardson, who also goes by Norma L Duggan, Norma Lynn Duggan, Norma Richardson, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Scottsdale, Arizona.
Norma is registered as a RR (Registered Representative) and started their career in finance in 1994. Norma has worked at 4 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Norma Lynn Richardson's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 20, 2021 - Present
VANGUARD MARKETING CORPORATION
Office #1: 14321 North Northsight Blvd., Scottsdale, AZ 85260January 20, 2006 - December 9, 2009
SIGMA FINANCIAL CORPORATION
October 11, 1999 - February 3, 2004
MISSIONSQUARE INVESTMENT SERVICES
November 21, 1997 - August 15, 1999
T. ROWE PRICE INVESTMENT SERVICES, INC.
March 28, 1994 - September 24, 1997
MISSIONSQUARE INVESTMENT SERVICES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/22/2021)
(11/26/2024)
Exams
Series 7TO
Date: 11/4/2025
General Securities Representative ExaminationSeries 6TO
Date: 12/20/2021
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 47 |
| Arbitration | 8 |
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