Timothy A. Norris
Professional summary
Timothy Alan Norris was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Timothy Alan Norris, who also goes by Tim Norris, Timothy Norris, was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2004. Timothy had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2005 - August 6, 2018
BMO HARRIS FINANCIAL ADVISORS, INC.
December 15, 2005 - August 6, 2018
BMO HARRIS FINANCIAL ADVISORS, INC.
October 3, 2005 - December 31, 2005
HARRISDIRECT LLC
October 3, 2005 - December 31, 2005
HARRISDIRECT LLC
July 8, 2004 - October 11, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
June 25, 2004 - October 11, 2005
IDS LIFE INSURANCE COMPANY
June 25, 2004 - October 11, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
BMO HARRIS FINANCIAL ADVISORS, INC.
CRD#: 137115 / SEC#: 801-64847, 8-67064
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 7 |
Red Flags
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