Norman A. Jenks
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Norman Abbott Jenks was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1972. Norman had worked at 4 firms and has passed the SIE, Series 7, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 1993 - May 25, 2018
AVANTAX ADVISORY SERVICES
October 22, 1992 - May 25, 2018
AVANTAX INVESTMENT SERVICES, INC.
January 22, 1986 - September 30, 1992
MONEY CONCEPTS CAPITAL CORP
June 1, 1972 - December 22, 1981
PWCG BROKERAGE, INC.
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 1
Date: 6/16/1966
Registered Representative ExaminationSeries 00
Date: 6/21/1973
General Securities Principal ExaminationCurrent Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
