Charles E. Norquist
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.
Charles Emil Norquist, who also goes by Chuck Norquist, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1964. Charles had worked at 11 firms and has passed the Series 63, Series 1 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 1995 - June 22, 2001
GLOBAL FINANCIAL GROUP, INC.
September 19, 1989 - October 28, 1994
HAYNE, MILLER FINANCIAL, INC.
May 14, 1987 - May 13, 1989
ABBEY-ASHFORD SECURITIES, INC.
November 18, 1983 - December 22, 1986
ROBERT S. C. PETERSON, INC.
February 19, 1981 - April 27, 1981
MARQUETTE FINANCIAL GROUP, INC.
November 28, 1980 - February 5, 1981
MIDWEST DISCOUNT SECURITIES, INC.
November 27, 1979 - December 3, 1980
MILLER JOHNSON STEICHEN KINNARD, INC.
November 20, 1978 - May 10, 1979
LOEB PARTNERS
November 22, 1977 - July 14, 1983
LEHMAN BROTHERS INC.
May 25, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
November 24, 1964 - May 23, 1977
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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: 11/19/1964
Registered Representative ExaminationCurrent Firm
GLOBAL FINANCIAL GROUP, INC.
CRD#: 23958 / SEC#: , 8-40814
Contact information
Documents
Disclosures
| Regulatory Event | 3 |
| Arbitration | 5 |
Red Flags
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