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Norman L. Ashkenas

ROBINHOOD FINANCIAL
Lake Mary, FL 32746
Some features on this profile are disabled
CRD#: 2467840
NA

Professional summary

Norman Le Ashkenas, who also goes by Norman Lee Amyern, Norm Ashkenas, Norman Lee Ashkenas, Norman Ashkenas, is a registered financial professional currently at ROBINHOOD FINANCIAL, LLC located in Lake Mary, Florida.

Norman is registered as a RR (Registered Representative) and started their career in finance in 2002. Norman has worked at 6 firms and has passed the Series 63, SIE, Series 24 and Series 14 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Norman Lee Amyern | Norm Ashkenas | Norman Lee Ashkenas | Norman Ashkenas

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 Norman Le Ashkenas'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

September 15, 2020 - Present

ROBINHOOD FINANCIAL, LLC

Office #1: 500 Colonial Center Pky Suite 100, Lake Mary, FL 32746
BD
CRD#: 165998
Lake Mary, FL
Past

May 20, 2020 - September 10, 2020

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
BOSTON, MA
Past

May 19, 2020 - September 10, 2020

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
BOSTON, MA
Past

June 22, 2010 - July 8, 2011

FIDELITY DISTRIBUTORS CORPORATION

BD
CRD#: 6848
SMITHFIELD, RI
Past

January 1, 2008 - September 10, 2020

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
BOSTON, MA
Past

March 9, 2007 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
MARLBOROUGH, MA
Past

July 29, 2003 - October 16, 2006

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MARLBOROUGH, MA
Past

October 31, 2002 - June 26, 2003

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/24/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/3/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 10/30/2002
Compliance Officer Examination
SRO Registrations
RR
FINRA

Current Firm

RF
ROBINHOOD FINANCIAL, LLC
CHRONOS FINANCIAL, LLC | ROBINHOOD FINANCIAL, LLC

CRD#: 165998 / SEC#: , 8-69188

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

Main Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Mailing Address
500 Colonial Center Parkway Suite 100, Lake Mary, FL 32746
Phone number
(650) 761-7789
Established
Delaware since 08/24/2012
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 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#
ROBINHOOD MARKETS, INC100% OWNER
BILLINGS, MATTHEW JOHNPRESIDENT, CHIEF EXECUTIVE OFFICER1915377
CAVALLARO, ANTHONY JOSEPHCHIEF COMPLIANCE OFFICER1607925
GALVIN, SCOT SEANPRINCIPAL OPERATIONS OFFICER3226179
KELATI, DANIEL TCHIEF FINANCIAL OFFICER AND PRINCIPAL FINOP3103432
KOLLER, WALTERCHIEF OPERATING OFFICER1932260
QUIRK, STEVEN MARKMANAGER2728768
SUBRAMANIAN, SIVARAMAKRISHNANMANAGER7339479

Disclosures

Regulatory Event55
Arbitration6

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

ROBINHOOD FINANCIAL, LLC

CRD#: 165998Lake Mary, FL 32746

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