Norman E. Woltjer
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 Elwood Woltjer was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1996. Norman had worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2014 - December 31, 2018
SPC
January 2, 2014 - December 31, 2018
SIGMA FINANCIAL CORPORATION
March 16, 2010 - December 23, 2013
ROYAL ADVISORS, LLC
January 4, 2010 - December 23, 2013
ROYAL SECURITIES COMPANY
February 28, 2006 - December 31, 2009
HBW SECURITIES LLC
September 30, 2004 - December 1, 2005
NEXT FINANCIAL GROUP, INC.
April 23, 2002 - October 6, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 22, 1996 - March 20, 2002
PFS INVESTMENTS INC.
Primary Firm SEC Registration
SPC
CRD#: 110692 / SEC#: 801-20404
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
Current Firm
SPC
CRD#: 110692 / SEC#: 801-20404
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 26,544 |
| AUM (Assets Under Management) | $ 5,655,661,675 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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