Karl R. Norman
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.
Karl Ray Norman was a registered financial professional .
Karl is a previously registered financial professional and started their career in finance in 1973. Karl had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 1, Series 24 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2017 - June 21, 2022
POLAR INVESTMENT COUNSEL, INC.
December 1, 2006 - August 3, 2017
QUESTAR CAPITAL CORPORATION
May 30, 2003 - December 1, 2006
USALLIANZ SECURITIES, INC.
September 13, 1988 - November 27, 2002
WALNUT STREET SECURITIES, INC.
December 8, 1977 - September 19, 1988
FIRST AFFILIATED SECURITIES, INC.
August 2, 1976 - January 23, 1978
ALL AMERICAN MANAGEMENT CORPORATION
June 16, 1976 - September 26, 1976
ILG SECURITIES CORPORATION
November 28, 1973 - March 7, 1976
OSAIC FS, INC.
October 2, 1973 - October 30, 1974
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
October 2, 1973 - October 30, 1974
PAUL REVERE EQUITY SALES COMPANY (THE)
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 9/27/1973
Registered Representative ExaminationSeries 40
Date: 12/22/1977
Registered Principal ExaminationCurrent Firm
POLAR INVESTMENT COUNSEL, INC.
CRD#: 42847 / SEC#: 801-64516, 8-50039
Contact information
FINRA licenses (17 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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