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Bruce S. Norin

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CRD#: 349093
BN

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.

Bruce Stuart Norin was a registered financial professional .

Bruce is a previously registered financial professional and started their career in finance in 1973. Bruce had worked at 12 firms and has passed the Series 5, Series 000, Series 1 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 7, 1989 - November 14, 1989

REICH & CO., INC.

BD
CRD#: 19611
Past

January 4, 1988 - April 8, 1989

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
Past

July 16, 1987 - May 5, 1988

E. F. HUTTON & COMPANY INC

BD
CRD#: 235
Past

February 3, 1986 - July 21, 1987

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
Past

September 8, 1981 - February 8, 1986

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
Past

January 14, 1980 - September 24, 1981

FITTIN, CUNNINGHAM & LAUZON, INC.

BD
CRD#: 6866
Past

September 17, 1979 - February 4, 1980

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

January 18, 1978 - September 17, 1979

LOEB PARTNERS

BD
CRD#: 7534
Past

January 4, 1977 - January 18, 1978

LOEB RHOADES & CO. INC.

BD
CRD#: 7502
Past

October 6, 1975 - January 4, 1977

LOEB, RHOADES & CO. INC.

BD
CRD#: 525
Past

October 15, 1974 - November 10, 1975

EDWARDS & HANLY

BD
CRD#: 6554
Past

November 26, 1973 - July 7, 1974

BLYTH EASTMAN DILLON & CO. INCORPORATED

BD
CRD#: 6361

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 5
Date: 11/19/1981
Interest Rate Options Examination
General Industry/Product Exam
RR
Series 000
Date: 11/20/1973
General Securities Principal Examination
General Industry/Product Exam
RR
Series 1
Date: 11/20/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 8
Date: 10/23/1984
General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

R&
REICH & CO., INC.
PALMER, DVORINE SECURITIES, INC. | VANTAGE SECURITIES, INC. | VANTAGE FINANCIAL SERVICES, INC. | REICH & CO., INC.

CRD#: 19611 / SEC#: , 8-37666

BD
Terminated by SEC on 03/18/1995
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Contact information

Main Address
Mailing Address
Phone number
Established
Alabama since 03/11/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

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.

Company Information

REICH & CO., INC.

CRD#: 19611

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