NY
Norman J. Yester
LRI INVESTMENTS
Glastonbury, CT 06033
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CRD#: 4249659
NY
Professional summary
Norman John Yester is a registered financial advisor currently at LRI INVESTMENTS located in Glastonbury, Connecticut and M HOLDINGS SECURITIES, INC. located in Glastonbury, Connecticut.
Norman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Norman has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1. NY & CO P.C.; 223 Eastern Blvd, Glastonbury CT 06371; Tax Services, Accounting & Auditing; Not Investment-related; President; Financial and firm management, client relationships; 9/01/1986; 80 hr/mo; 60 hr/mo during trading hours. 2. TAN LLC; 223 Eastern Blvd, Glastonbury CT 06371; Real Estate Rental; Not Investment Related; Member/Owner; Passive activity, voting rights; 07/27/1999; 0 hr/mo; 0 hr/mo during trading hours. 3. MARINER FINANCIAL GROUP LLC; 223 Eastern Blvd, Glastonbury CT 06371; M FInancial Group Member Firm Affiliation; Investment-related; Partner; Financial planning; 2/01/2021; 80 hr/mo; 60 hr/mo during trading hours. 4. 02/2021 - M Holdings Securities, Inc. - Investment Related; 1125 Northwest Couch Street Suite 900 Portland, OR 97209; Registered Representative; Financial Advisor; Time spent 5-10 hr/mo; all hours are during trading hours; Securities transactions. 5. LRI INVESTMENTS; 3825 PGA BLVD, Suite 303, Palm Beach Gardens FL 33410; Registered Investment Advisory; Investment-related; Investment Advisory Representative; Advisor services, financial planning; 4/01/2024; 80 hr/mo; 60 hr/mo during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Norman John Yester's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 3, 2024 - Present
LRI INVESTMENTS
Office #1: 223 Eastern Boulevard, Glastonbury, CT 06033RIA
CRD#: 323556
Glastonbury, CT
Current
February 13, 2021 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 223 Eastern Boulevard, Glastonbury, CT 06033RIA
BD
CRD#: 43285
Glastonbury, CT
Past
February 13, 2021 - April 1, 2024
M HOLDINGS SECURITIES, INC.
RIA
CRD#: 43285
Glastonbury, CT
Past
March 6, 2017 - March 31, 2023
MARINER FINANCIAL GROUP, LLC
RIA
CRD#: 287649
GLASTONBURY, CT
Past
January 29, 2001 - July 17, 2017
LPL FINANCIAL LLC
RIA
CRD#: 6413
GLASTONBURY, CT
Past
January 18, 2001 - February 23, 2021
LPL FINANCIAL LLC
BD
CRD#: 6413
GLASTONBURY, CT
Past
September 28, 2000 - November 27, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LI
LRI INVESTMENTS
JKJ FINANCIAL SERVICES | MARINER FINANCIAL GROUP | LRI INVESTMENTS, LLC | LRI INVESTMENTS | LINDBERG & RIPPLE | JKJ RETIREMENT SERVICES
CRD#: 323556 / SEC#: 801-127277
RIA
Registered Investment Advisory firm - (4/12/2024 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Connecticut(2/13/2021)
IAR
Connecticut(4/3/2024)
RR
Florida(5/19/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LI
LRI INVESTMENTS
JKJ FINANCIAL SERVICES | MARINER FINANCIAL GROUP | LRI INVESTMENTS, LLC | LRI INVESTMENTS | LINDBERG & RIPPLE | JKJ RETIREMENT SERVICES
CRD#: 323556 / SEC#: 801-127277
RIA
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Contact information
Main Address
3825 Pga Blvd Suite 303, Palm Beach Gardens, FL 33410
Mailing Address
Phone number
(561) 323-2265
Established
Firm type
Fiscal year end
# of Employees
37
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,295 |
| AUM (Assets Under Management) | $ 1,404,038,363 |
Red Flags
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