Norman A. Tanber
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 Andrew Tanber was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1964. Norman had worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2011 - September 8, 2023
MORGAN STANLEY
November 4, 2011 - September 8, 2023
MORGAN STANLEY
July 8, 1997 - November 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 27, 1997 - November 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 3, 1997 - January 27, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 30, 1993 - January 6, 1997
WELLS FARGO CLEARING SERVICES, LLC
September 21, 1990 - April 2, 1993
KIDDER, PEABODY & CO. INCORPORATED
November 23, 1988 - September 27, 1990
WEDBUSH SECURITIES INC.
January 10, 1964 - August 30, 1990
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
Primary Firm SEC Registration
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 4/15/1960
Registered Representative ExaminationSeries 00
Date: 2/5/1973
General Securities Principal ExaminationCurrent Firm
MORGAN STANLEY
CRD#: 149777 / SEC#: 801-70103, 8-68191
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MORGAN STANLEY CAPITAL MANAGEMENT, LLC | MEMBER | |
| CROWE, JOHN WILLIAM | CHIEF FINANCIAL OFFICER | 5475007 |
| FINN, JED | DIRECTOR, CHAIRMAN, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 5658048 |
| FLETCHER, PATRICIA KAY | TEXAS DESIGNATED PRINCIPAL | 1202060 |
| GALASSO, DAVID ANTHONY | PRINCIPAL OPERATIONS OFFICER | 1926502 |
| GIVENS, WILLIAM BENJAMIN | CHIEF COMPLIANCE OFFICER (BD ONLY) | 2790454 |
| HANSEN, TIMOTHY GERARD | CHIEF COMPLIANCE OFFICER (IA ONLY ) | 4956475 |
| HENNESSY, MICHAEL S | DIRECTOR | 1988660 |
| JANOVER, JAMES TROY | DIRECTOR | 2818307 |
| TURNER, CHAD EDWARD | DIRECTOR | 6009808 |
Regulatory assets under management
| Total Number of Accounts | 2,539,760 |
| AUM (Assets Under Management) | $ 1,650,015,946,338 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 115 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/20/2025 | ||
| 07/23/2024 | ||
| 08/24/2023 |
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.
