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MN

Michael A. Norseth

TRANSITIONAL BROKER LLC
Draper, UT 84020
Some features on this profile are disabled
CRD#: 2456319
MN

Professional summary

Michael Adam Norseth is a registered financial professional currently at TRANSITIONAL BROKER LLC located in Draper, Utah.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1994. Michael has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Michael Adam Norseth's CRS (Customer Relationship Summary).
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

December 5, 2022 - Present

TRANSITIONAL BROKER LLC

Office #1: 11650 S. State Street, Suite 200, Draper, UT 84020
BD
CRD#: 304313
Draper, UT
Past

October 23, 2017 - December 7, 2022

GENEOS WEALTH MANAGEMENT, INC.

BD
CRD#: 120894
Sandy, UT
Past

July 19, 2011 - November 22, 2017

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
SANDY, UT
Past

October 10, 2006 - July 19, 2011

THE LEADERS GROUP, INC.

BD
CRD#: 37157
SUMMIT, NJ
Past

May 10, 2000 - October 8, 2004

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
DES MOINES, IA
Past

April 27, 1994 - May 3, 2000

NYLIFE SECURITIES LLC

BD
CRD#: 5167
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(9/28/2023)
RR
California
(12/5/2022)
RR
Idaho
(12/5/2022)
RR
Nevada
(12/5/2022)
RR
Oregon
(12/8/2022)
RR
Utah
(12/5/2022)
RR
Washington
(12/5/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/6/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/26/1994
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TB
TRANSITIONAL BROKER LLC
TRANSITIONAL ADVISOR | TRANSITIONAL BROKER, LLC | TRANSITIONAL BROKER LLC | TRANSITIONAL BROKER

CRD#: 304313 / SEC#: , 8-70353

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
11650 S. State Street, Suite 200, Draper, UT 84020
Mailing Address
11650 S. State Street, Suite 200, Draper, UT 84020
Phone number
(801) 855-8886
Established
Utah since 05/09/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DAVID WM. JAMES, LLCOWNER
JAMES, DAVID WILLIAMCHIEF OPERATIONS OFFICER, CFO & PRINCIPAL1241412
MYERS, BRAD JEDDCHIEF COMPLIANCE OFFICER4171462
THORNTON, STEVEN LEEFINOP PRINCIPAL4496384

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.

Company Information

TRANSITIONAL BROKER LLC

CRD#: 304313Draper, UT 84020

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