Christopher L. Norris
Professional summary
Christopher Lawrence Norris was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Christopher is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Christopher had worked at 10 firms, which includes WALNUT STREET SECURITIES INC., TOWER SQUARE SECURITIES INC., NEW ENGLAND SECURITIES, METLIFE INVESTORS DISTRIBUTION COMPANY, MSI FINANCIAL SERVICES INC., J.W. COLE FINANCIAL INC., OSAIC WEALTH INC., HIGH MARK SECURITIES INC., SIGMA FINANCIAL CORPORATION, AMERICAN GENERAL SECURITIES INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 1, 2012 - September 6, 2013
WALNUT STREET SECURITIES, INC.
February 1, 2012 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
February 1, 2012 - January 2, 2015
NEW ENGLAND SECURITIES
February 1, 2012 - July 31, 2015
METLIFE INVESTORS DISTRIBUTION COMPANY
December 16, 2010 - July 31, 2015
MSI FINANCIAL SERVICES, INC.
December 2, 2008 - November 5, 2010
J.W. COLE FINANCIAL, INC.
August 23, 2004 - December 1, 2008
OSAIC WEALTH, INC.
February 12, 2001 - September 29, 2004
HIGH MARK SECURITIES, INC.
March 24, 2000 - February 13, 2001
SIGMA FINANCIAL CORPORATION
January 17, 2000 - April 11, 2000
AMERICAN GENERAL SECURITIES 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
Current Firm
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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