Norman Stein
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 Stein, who also goes by Noach Stein, Norman N Stein, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1986. Norman had worked at 2 firms and has passed the Series 63, Series 22, Series 2, Series 1 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 1986 - June 5, 1987
AMTAX MANAGEMENT CORP.
November 13, 1986 - April 29, 1989
PRESIDENTIAL CAPITAL CORPORATION
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 2
Date: 7/24/1974
Non-Member General Securities ExaminationSeries 1
Date: 4/11/1960
Registered Representative ExaminationCurrent Firm
AMTAX MANAGEMENT CORP.
CRD#: 14053 / SEC#: , 8-25061
Contact information
Documents
Red Flags
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