Charles R. Norris
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.
Charles Roger Norris, who also goes by Charles Norris, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2008. Charles had worked at 11 firms and has passed the Series 65, 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
November 22, 2022 - December 31, 2024
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 22, 2022 - December 8, 2022
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 22, 2022 - August 12, 2025
INVESTMENT DISTRIBUTORS, INC.
July 21, 2022 - October 14, 2022
EMPOWER ADVISORY GROUP, LLC
April 4, 2022 - October 14, 2022
EMPOWER FINANCIAL SERVICES, INC.
June 29, 2020 - November 29, 2020
PRUDENTIAL SELECT STRATEGIES LLC
June 29, 2020 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 21, 2019 - July 16, 2020
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 18, 2017 - May 9, 2019
PRUDENTIAL SELECT STRATEGIES LLC
December 12, 2017 - December 3, 2018
PRUCO SECURITIES, LLC.
April 16, 2015 - April 10, 2020
PRUCO SECURITIES, LLC.
January 7, 2014 - November 21, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
December 16, 2013 - November 21, 2014
AMERIPRISE FINANCIAL SERVICES, LLC
May 7, 2010 - November 19, 2013
OPPENHEIMER & CO. INC.
May 2, 2008 - May 13, 2010
UBS FINANCIAL SERVICES 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
Current 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.
