James E. Norgaard
Professional summary
James Emmett Norgaard, who also goes by James Emmet Norgaard, Jim Norgaard, is a registered financial professional currently at CVC FUNDING, LLC located in New York, New York.
James is registered as a RR (Registered Representative) and started their career in finance in 1999. James has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Emmett Norgaard's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 9, 2024 - Present
CVC FUNDING, LLC
Office #1: 767 Fifth Avenue 14th Floor, New York, NY 10153May 19, 2020 - October 2, 2024
SIXTH STREET BD, LLC
April 1, 2011 - January 31, 2020
APOLLO GLOBAL SECURITIES, LLC
October 1, 2007 - September 25, 2008
PINEBRIDGE SECURITIES LLC
May 29, 2007 - July 11, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - July 11, 2007
CITIGROUP GLOBAL MARKETS INC.
November 21, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
November 17, 2005 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 28, 1999 - April 20, 2001
MORGAN STANLEY DW 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
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Exams
FINRA
Current Firm
CVC FUNDING, LLC
CRD#: 277056 / SEC#: , 8-69650
Contact information
FINRA licenses (52 States and Territories)
Red Flags
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