Norman C. Scott
Professional summary
Norman Chester Scott II is a registered financial professional currently at NATALLIANCE SECURITIES, LLC located in Boerne, Texas.
Norman is registered as a RR (Registered Representative) and started their career in finance in 1996. Norman has worked at 8 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Norman Chester Scott II's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 19, 2023 - Present
NATALLIANCE SECURITIES, LLC
Office #1: 124 E. Bandera Rd, Ste 202, Boerne, TX 78006July 22, 2022 - February 21, 2023
B. RILEY WEALTH MANAGEMENT
February 22, 2018 - July 22, 2022
NATIONAL SECURITIES CORPORATION
November 8, 2013 - February 24, 2018
VFINANCE INVESTMENTS, INC
March 11, 2013 - November 14, 2013
FURTHER LANE SECURITIES, L.P.
October 14, 2004 - March 20, 2013
ADVISORS ASSET MANAGEMENT, INC.
January 3, 2001 - March 20, 2013
ADVISORS ASSET MANAGEMENT, INC.
January 21, 1999 - December 31, 2000
STIFEL INDEPENDENT ADVISORS, LLC
December 20, 1996 - January 4, 1999
ECKARD INVESTMENT SERVICES, 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
(2/19/2023)
(2/19/2023)
(2/19/2023)
(2/19/2023)
(2/19/2023)
(2/19/2023)
(2/19/2023)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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