Stephen M. Norris
Professional summary
Stephen M Norris is a registered financial advisor currently at MCGOWAN GROUP ASSET MANAGEMENT, INC. located in Dallas, Texas.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Stephen has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen M Norris's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 22, 2018 - Present
MCGOWAN GROUP ASSET MANAGEMENT, INC.
Office #1: 300 Crescent Court #1776, Dallas, TX 75201June 6, 2012 - March 24, 2015
APEX CLEARING CORPORATION
September 13, 2006 - August 1, 2012
PENSON FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MCGOWAN GROUP ASSET MANAGEMENT, INC.
CRD#: 154127 / SEC#: 801-71582
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/22/2018)
Exams
Series 55
Date: 12/5/2006
Limited Representative-Equity Trader ExamCurrent Firm
MCGOWAN GROUP ASSET MANAGEMENT, INC.
CRD#: 154127 / SEC#: 801-71582
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,050 |
| AUM (Assets Under Management) | $ 996,742,756 |
Red Flags
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Company Information
MCGOWAN GROUP ASSET MANAGEMENT, INC.
CRD#: 154127Dallas, TX 75201TRUST BUT VERIFY
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