Gregory B. Norris
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.
Gregory Bryan Norris, who also goes by Greg Norris, Gregory Brian Norris, Gregory John Norris, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1971. Gregory had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2015 - March 22, 2016
SYMETRA SECURITIES, INC.
April 3, 2008 - November 11, 2014
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
July 24, 2007 - April 1, 2008
VOYA INVESTMENTS DISTRIBUTOR, LLC
May 31, 2006 - July 30, 2007
ALLIANZ LIFE FINANCIAL SERVICES, LLC
February 9, 2005 - June 1, 2006
VP DISTRIBUTORS LLC
June 10, 1999 - May 17, 2004
J.P. MORGAN SECURITIES LLC
May 10, 1996 - May 12, 1999
NATIXIS DISTRIBUTION, LLC
April 23, 1996 - May 11, 1996
SENTINEL FINANCIAL SERVICES COMPANY
February 1, 1995 - September 20, 1995
SALOMON BROTHERS INC.
September 22, 1992 - February 13, 1995
EATON VANCE DISTRIBUTORS, INC.
June 9, 1989 - September 29, 1992
MFS FINANCIAL SERVICES, INC.
November 5, 1984 - November 5, 1990
PRUDENTIAL EQUITY GROUP, LLC
January 19, 1981 - December 15, 1981
FAHNESTOCK INTERNATIONAL INC.
November 17, 1971 - March 19, 1972
DERAND/PENNINGTON/BASS, 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: 11/16/1971
Registered Representative ExaminationCurrent Firm
SYMETRA SECURITIES, INC.
CRD#: 739 / SEC#: , 8-13470
Contact information
FINRA licenses (51 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SYMETRA FINANCIAL CORPORATION | OWNER | |
| BALKOVETZ, CHANTEL LEE | DIRECTOR | 2490011 |
| DIMITRI, DAVID MICHAEL | SECRETARY | 4806001 |
| DOW, SHANEN LYNN | ASSISTANT TREASURER, VICE PRESIDENT | 7676848 |
| ELLIS, COURTNEY LYNN | CHIEF OPERATING OFFICER | 5460601 |
| FARRELL, ANDREW MICHAEL | PRESIDENT, DIRECTOR | 4463467 |
| HANSON, COLLEEN | ASSISTANT VICE PRESIDENT, FINANCIAL AND OPERATIONS PRINCIPAL, TREASURER, CHIEF FINANCIAL OFFICER | 7271134 |
| MURPHY, COLLEEN MARY | DIRECTOR | 4842602 |
| NORBERG, KRISTIN ROUST | VICE PRESIDENT | 7033021 |
| OBERDECK, ANDREW A | ASSISTANT SECRETARY | 8015633 |
| OTTO, JOSEPHINE R | ASSISTANT SECRETARY | 8015301 |
| RABIN, KEVIN WILLIAM | DIRECTOR | 7033042 |
| SANDERS, BARBARA ANN | CHIEF COMPLIANCE OFFICER | 2206030 |
Disclosures
| Regulatory Event | 3 |
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.
