Frank J. Normali
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.
Frank John Normali was a registered financial advisor .
Frank is a previously registered financial advisor and started their career in finance in 1967. Frank had worked at 7 firms and has passed the Series 63, SIE, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 18, 2011 - May 21, 2018
AVALON INVESTMENT & SECURITIES GROUP, INC.
January 1, 2000 - April 13, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 15, 1999 - April 13, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 18, 1996 - August 11, 1999
O'DONNELL SECURITIES CORPORATION
May 21, 1996 - August 23, 1996
WMA SECURITIES, INC.
January 25, 1984 - September 14, 1995
STANLEY SECURITIES, INC.
January 21, 1971 - June 3, 1982
FIRST MIDWEST CORPORATION
December 7, 1967 - February 12, 1971
BALANCED PROGRAMS, 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
Series 1
Date: 4/3/1967
Registered Representative ExaminationSeries 00
Date: 11/6/1967
General Securities Principal ExaminationCurrent Firm
AVALON INVESTMENT & SECURITIES GROUP, INC.
CRD#: 6281 / SEC#: , 8-17078
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 14 |
Red Flags
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