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NR

Norman P. Rounds

Some features on this profile are disabled
CRD#: 405891
NR

Professional summary

Norman Peter Rounds was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Norman is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, Norman had worked at 9 firms, which includes FIRST ASSOCIATED SECURITIES GROUP INC., CAPWEST SECURITIES INC., RIVERFRONT FINANCIAL SERVICES INC., HIMCO DISTRIBUTION SERVICES COMPANY, CONSOLIDATED INVESTMENT SERVICES INC., SOUTHMARK FINANCIAL SERVICES INC., PITTMAN & COMPANY INCORPORATED, WORLD CAPITAL BROKERAGE INC., EQUITY FUNDING SECURITIES CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 6, 1995 - January 19, 1996

FIRST ASSOCIATED SECURITIES GROUP, INC.

BD
CRD#: 20597
CHICO, CA
Past

September 29, 1992 - January 1, 1996

CAPWEST SECURITIES, INC.

BD
CRD#: 30002
GREELEY, CO
Past

January 20, 1992 - March 9, 1992

RIVERFRONT FINANCIAL SERVICES, INC.

BD
CRD#: 23150
Past

May 6, 1985 - November 22, 1988

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
Past

May 10, 1979 - February 17, 1995

CONSOLIDATED INVESTMENT SERVICES, INC.

BD
CRD#: 7929
LITTLETON, CO
Past

August 24, 1976 - June 6, 1979

SOUTHMARK FINANCIAL SERVICES, INC.

BD
CRD#: 6518
Past

April 6, 1976 - September 27, 1976

PITTMAN & COMPANY, INCORPORATED

BD
CRD#: 5225
Past

December 28, 1973 - April 27, 1976

WORLD CAPITAL BROKERAGE, INC.

BD
CRD#: 37
Past

March 1, 1973 - January 12, 1974

EQUITY FUNDING SECURITIES CORPORATION

BD
CRD#: 1000001

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/1/1984
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 2/23/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 40
Date: 5/13/1977
Registered Principal Examination

Current Firm

FA
FIRST ASSOCIATED SECURITIES GROUP, INC.
FIRST ASSOCIATED SECURITIES GROUP, INC.

CRD#: 20597 / SEC#: , 8-38276

BD
Cancelled by SEC on 06/20/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
California since 07/01/1987
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
BULRUSH HOLDING CORPORATIONDIRECT OWNER
HALLIBURTON, KIM IONEFINOP1058579
MARTELLARO, ANTHONY PAULPRESIDENT2387221
MARTELLARO, CARL DOMINICMUNICIPAL PRINCIPAL / OPTIONS PRINCIPAL320959
WOLKOFF, TERRY MOPERATIONS OFFICER1503243

Disclosures

Regulatory Event8
Arbitration5

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.

Company Information

FIRST ASSOCIATED SECURITIES GROUP, INC.

CRD#: 20597

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