Thomas G. 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.
Thomas Glenn Norris JR was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2013. Thomas had worked at 3 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
September 28, 2016 - December 31, 2018
ROCKHAVEN WEALTH MANAGEMENT
May 13, 2016 - September 2, 2016
SIGNATOR INVESTORS, INC.
May 13, 2016 - September 2, 2016
SIGNATOR INVESTORS, INC.
December 19, 2013 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 5, 2013 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
State Registrations and Notice Filings
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Exams
Current Firm
ROCKHAVEN WEALTH MANAGEMENT
CRD#: 285017 / SEC#:
Contact information
Red Flags
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