Norman C. Sapoznik
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.
Norman Cyril Sapoznik, who also goes by Norman Cyril Sapozniksabin, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1967. Norman had worked at 13 firms and has passed the SIE, Series 5, Series 000 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
November 20, 2013 - December 26, 2018
WESTERN INTERNATIONAL SECURITIES, INC.
May 10, 2002 - December 13, 2013
GBS FINANCIAL CORP.
September 30, 1999 - October 11, 1999
INTERFIRST CAPITAL CORPORATION
September 16, 1999 - July 16, 2002
GREENWOOD SECURITIES, INC.
June 17, 1986 - September 30, 1999
W.J. GALLAGHER & COMPANY, INC.
April 18, 1986 - June 30, 1986
PATRICK-RILEY SECURITIES INC.
September 11, 1978 - November 26, 1979
LOEB PARTNERS
June 10, 1977 - August 19, 1978
CIBC WORLD MARKETS CORP.
November 17, 1976 - August 2, 1977
SHEARSON HAYDEN STONE INC.
November 8, 1974 - November 17, 1976
SHEARSON HAYDEN STONE INC.
October 26, 1973 - November 8, 1974
HAYDEN STONE INC.
July 1, 1971 - October 26, 1973
H. HENTZ & CO., INC.
March 31, 1967 - April 17, 1986
LEHMAN BROTHERS 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 5
Date: 10/17/1981
Interest Rate Options ExaminationSeries 000
Date: 3/31/1967
General Securities Principal ExaminationSeries 1
Date: 3/31/1967
Registered Representative ExaminationCurrent Firm
WESTERN INTERNATIONAL SECURITIES, INC.
CRD#: 39262 / SEC#: 801-68953, 8-48572
Contact information
FINRA licenses (5 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,904 |
| AUM (Assets Under Management) | $ 3,512,564,746 |
Disclosures
| Regulatory Event | 15 |
| Civil Event | 1 |
| Arbitration | 5 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2024 | ||
| 06/28/2024 |
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.
