Norman R. Hess
Professional summary
Norman Ralph Hess was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Norman is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Norman had worked at 11 firms, which includes MIDSOUTH CAPITAL INC., BERTHEL FISHER & COMPANY FINANCIAL SERVICES INC., FIDELITY NATIONAL CAPITAL INVESTORS INC., UBS FINANCIAL SERVICES INC., MORGAN STANLEY DW INC., PRUDENTIAL EQUITY GROUP LLC, DREXEL BURNHAM LAMBERT INCORPORATED, LEHMAN BROTHERS KUHN LOEB INCORPORATED, LEHMAN BROTHERS INCORPORATED, FAULKNER DAWKINS & SULLIVAN INC., DUPONT WALSTON INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 10, 2003 - August 21, 2006
MIDSOUTH CAPITAL, INC.
March 23, 2001 - January 14, 2003
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
February 9, 1993 - March 23, 2001
FIDELITY NATIONAL CAPITAL INVESTORS, INC.
July 12, 1989 - February 9, 1993
UBS FINANCIAL SERVICES INC.
April 26, 1984 - July 12, 1989
MORGAN STANLEY DW INC.
September 4, 1981 - April 26, 1984
PRUDENTIAL EQUITY GROUP, LLC
May 15, 1979 - September 2, 1981
DREXEL BURNHAM LAMBERT INCORPORATED
February 22, 1978 - May 23, 1979
LEHMAN BROTHERS KUHN LOEB INCORPORATED
February 8, 1977 - February 22, 1978
LEHMAN BROTHERS INCORPORATED
April 25, 1974 - February 24, 1977
FAULKNER, DAWKINS & SULLIVAN INC.
December 15, 1971 - May 29, 1974
DUPONT WALSTON, INCORPORATED
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
Series 5
Date: 8/27/1987
Interest Rate Options ExaminationSeries 1
Date: 11/20/1967
Registered Representative ExaminationSeries 12
Date: 2/8/1973
NYSE Branch Manager ExaminationSeries 00
Date: 1/29/1973
General Securities Principal ExaminationCurrent Firm
MIDSOUTH CAPITAL, INC.
CRD#: 35039 / SEC#: , 8-46620
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HILL, MARK DAVID | CHAIRMAN, BOARD MEMBER, AND SHAREHOLDER | 1056054 |
| CAMPBELL, CYNTHIA H | BOARD MEMBER | |
| HILL, EDWARD DAVID JR | SHAREHOLDER | |
| HILL, ROBIN | SHAREHOLDER | |
| JAMA HOLDINGS | SHAREHOLDER | |
| BATEH, RONALD JAMES | PRESIDENT, CEO, RIA CCO, BOARD MEMBER, SHAREHOLDER | 869380 |
| BRUSH, EDWARD | BOARD MEMBER | |
| MURRAY, SANDRA ANN | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 1407964 |
| ROYSTER, COLLIN HARDING | REGISTERED PRINCIPAL | 843043 |
| VOOS, VIRGINIA LAWRENCE | FINOP |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| Bond | 2 |
Red Flags
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