Norris H. Boren
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.
Norris Henderson Boren was a registered financial professional .
Norris is a previously registered financial professional and started their career in finance in 1999. Norris had worked at 9 firms and has passed the Series 65, Series 63, Series 7 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
February 5, 2003 - July 22, 2003
CITICORP INVESTMENT SERVICES
August 10, 2001 - February 5, 2003
CAL FED INVESTMENTS
February 27, 2001 - June 25, 2001
PRUDENTIAL EQUITY GROUP, LLC
January 29, 2001 - March 26, 2001
PRUCO SECURITIES, LLC.
April 24, 2000 - November 2, 2000
IDS LIFE INSURANCE COMPANY
April 24, 2000 - November 2, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
December 15, 1999 - March 20, 2000
NATIONAL PLANNING CORPORATION
August 5, 1999 - January 5, 2000
FIRST ALLIED SECURITIES, INC.
July 9, 1999 - August 19, 1999
SUNAMERICA SECURITIES, 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
Current Firm
CITICORP INVESTMENT SERVICES
CRD#: 23988 / SEC#: , 8-40802
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIBANK WEST HOLDINGS INC | SOLE SHAREHOLDER | |
| ANGIONE, DOMINICK JOHN JR | SROP | 1260456 |
| BAUMGARTNER, JOHN | GENERAL COUNSEL | |
| HENRYNICOLL, CAROL ANNETTE | CROP | 2228729 |
| HINMAN, DAVID J | PRESIDENT AND CHAIRMAN | 2712080 |
| KILKENNY, ROBERTA MERCEDES | TREASURER | 2425698 |
| MALLETT, JOHN CARLTON | CHIEF FINANCIAL OFFICER | 1569049 |
| TUBMAN, JOHN THOMAS | INVESTMENT ADVISOR COMPLIANCE OFFICER | 1412675 |
| TUBMAN, JOHN THOMAS | CHIEF COMPLIANCE OFFICER | 1412675 |
| WOLFSON, BARBARA | DIRECTOR OF CIS BOARD - DIRECTOR OF OPERATIONS | 833847 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 19 |
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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