William F. 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.
William Francis Norris was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1970. William had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 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
May 9, 2016 - January 13, 2021
ENTRUST GLOBAL SECURITIES LLC
November 29, 2011 - May 10, 2016
FRANKLIN DISTRIBUTORS, LLC
February 3, 2010 - June 6, 2011
POTOMAC CAPITAL MARKETS, LLC
August 20, 1997 - January 17, 2003
MAM SECURITIES, LLC
October 12, 1995 - July 31, 1997
MONTGOMERY SECURITIES
September 21, 1994 - October 16, 1995
LEGG MASON WOOD WALKER, INCORPORATED
July 31, 1993 - September 13, 1994
CITIGROUP GLOBAL MARKETS INC.
February 20, 1992 - July 31, 1993
LEHMAN BROTHERS INC.
February 20, 1991 - February 10, 1992
KIDDER, PEABODY & CO. INCORPORATED
February 11, 1988 - January 25, 1991
GRUNTAL & CO., L.L.C.
September 22, 1986 - February 19, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
May 19, 1978 - September 29, 1986
KIDDER, PEABODY & CO. INCORPORATED
October 26, 1973 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
November 22, 1971 - October 27, 1973
LEHMAN BROTHERS INCORPORATED
July 2, 1970 - January 9, 1972
DUPONT GLORE FORGAN 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 7TO
Date: 6/7/2024
General Securities Representative ExaminationPC
Date: 8/15/1977
AMEX Put and Call ExamSeries 1
Date: 1/10/1967
Registered Representative ExaminationSeries 40
Date: 8/25/1977
Registered Principal ExaminationCurrent Firm
ENTRUST GLOBAL SECURITIES LLC
CRD#: 146443 / SEC#: , 8-67822
Contact information
FINRA licenses (1 States and Territories)
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.
