Nora D. Cantwell
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.
Nora Diane Cantwell, who also goes by Noradiane Harris Bennett, Nora Diane Harris, Nora Diane Harris, was a registered financial professional .
Nora is a previously registered financial professional and started their career in finance in 2005. Nora had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2022 - July 19, 2024
BAKKT BROKERAGE, LLC
January 28, 2021 - June 14, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 6, 2012 - June 5, 2020
MOTIF
January 23, 2009 - December 1, 2011
SECURITIES AMERICA, INC.
March 15, 2005 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
State Registrations and Notice Filings
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Exams
Current Firm
BAKKT BROKERAGE, LLC
CRD#: 288227 / SEC#: , 8-69929
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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.
