David J. Norris
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.
David John Norris, who also goes by David Norris, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 9 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2020 - October 24, 2022
SMEAD FUNDS DISTRIBUTORS, LLC
June 5, 2015 - September 28, 2018
CREDIT AGRICOLE SECURITIES (USA) INC.
February 6, 2014 - June 1, 2015
CAMBRIDGE INTERNATIONAL SECURITIES, LLC
January 14, 2014 - February 25, 2014
SUSQUEHANNA FINANCIAL GROUP, LLLP
July 19, 2012 - October 18, 2013
MIZUHO SECURITIES USA LLC
July 20, 2007 - March 1, 2012
BNP PARIBAS SECURITIES CORP.
August 24, 2004 - January 16, 2007
NATWEST MARKETS SECURITIES INC.
July 21, 2003 - September 2, 2004
BARCLAYS CAPITAL INC.
February 8, 1999 - June 27, 2003
UBS SECURITIES LLC
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
SMEAD FUNDS DISTRIBUTORS, LLC
CRD#: 173734 / SEC#: , 8-69550
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FORESIDE DISTRIBUTORS LLC | DIRECTOR OWNER/SOLE MEMBER | |
| COWAN, TERESA MARIA KAZMIERSKI | PRESIDENT/MANAGER/DIRECTOR | 1544189 |
| EDELMAN, GABRIEL | SECRETARY | 6654419 |
| LA FOND, SUSAN LORENE | TREASURER | 4512785 |
| LANZA, CHRISTOPHER CONTE | VICE PRESIDENT | 2184856 |
| MACCHIA, KATE SCHENDEL | VICE PRESIDENT | 4863973 |
| SOMMERS, WESTON | CFO/FINOP | 5290145 |
| TAYLOR, GORDON BURDETTE | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | 2990648 |
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.
