Norman H. Winer
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 Howard Winer, who also goes by Norm Winer, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1971. Norman had worked at 8 firms and has passed the Series 63, SIE 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
August 25, 2006 - August 1, 2017
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 10, 2003 - August 29, 2006
PRINCIPAL SECURITIES, INC.
December 30, 2000 - January 6, 2003
MMC SECURITIES LLC
June 26, 1990 - December 30, 2000
MARSH & MCLENNAN SECURITIES CORPORATION
September 12, 1989 - May 8, 1990
GREEN HILL FINANCIAL SERVICE CORPORATION
June 3, 1986 - May 21, 1990
JOHN HANCOCK DISTRIBUTORS LLC
April 10, 1984 - May 23, 1985
ROBERT W. BAIRD & CO. INCORPORATED
November 24, 1971 - May 20, 1985
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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 1
Date: 11/18/1971
Registered Representative ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
