Norman E. Heyman
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 Edward Heyman was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1977. Norman had worked at 15 firms and has passed the Series 66, Series 63, SIE, PC, Series 4, Series 53 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2005 - November 30, 2011
SMATHERS FINANCIAL GROUP, INC.
October 31, 2005 - April 4, 2018
OSAIC SERVICES, INC.
October 31, 2005 - April 4, 2018
OSAIC SERVICES, INC.
July 18, 2005 - October 31, 2005
SENTRA SECURITIES CORPORATION
April 20, 2001 - October 31, 2005
SENTRA SECURITIES CORPORATION
June 21, 1999 - April 10, 2001
RYAN BECK & CO.
March 8, 1999 - June 28, 1999
PFIC SECURITIES CORPORATION
July 22, 1998 - March 19, 1999
FISERV INVESTOR SERVICES, INC.
May 6, 1996 - December 24, 1996
ADVEST, INC.
April 10, 1989 - October 16, 1995
UBS FINANCIAL SERVICES INC.
July 25, 1987 - April 12, 1989
MARCUS, STOWELL & BEYE GOVERNMENT SECURITIES, INC.
February 22, 1982 - January 24, 1986
HEYMAN-COLE INVESTMENT SECURITIES CORP.
October 11, 1979 - April 12, 1989
MARCUS, STOWELL & BEYE, INC.
September 24, 1979 - November 5, 1979
HALPERT AND COMPANY, INC.
September 29, 1977 - April 5, 1979
LEGEL, BRASWELL SECURITIES CORP.
June 27, 1977 - August 22, 1977
BALOGH SECURITIES, INC.
January 28, 1977 - July 6, 1977
WINTERS & COMPANY, INC.
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
PC
Date: 12/13/1989
AMEX Put and Call ExamSeries 40
Date: 2/26/1977
Registered Principal ExaminationCurrent Firm
SMATHERS FINANCIAL GROUP, INC.
CRD#: 130349 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 91 |
| AUM (Assets Under Management) | $ 12,334,837 |
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.
