Norbert Louis James Wiggins
Professional Summary
Norbert Louis James Wiggins, who also goes by Norbert Louis Wiggins, Norbert Louis J Wiggins, was a registered financial advisor. Norbert was a previously registered financial professional and started their career in finance 1980 - 2003. Norbert had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Norbert Louis Wiggins, Norbert Louis J Wiggins
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
46 years registered in the securities industry
Current & Past Employments
Past
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Current Firm
GOLDCOR SECURITIES, LTD. | WATERSTONE FINANCIAL GROUP, INC. | LONG GROVE TRADING COMPANY | LONG GROVE TRADING CO.
Contact Information
Established
Illinois since 01/24/1979Firm Type
CorporationFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL INDEPENDENT ADVISOR SERVICE GROUP, LLC | OWNER | — |
| BROWN, STEPHANIE LEIGH | DIRECTOR | 1973369 |
| DWYER, WILLIAM EDWARD III | DIRECTOR | 1274680 |
| KALBAUGH, JOHN ANDREW | CHIEF EXECUTIVE OFFICER | 1821773 |
| STEARNS, ESTHER MARION | DIRECTOR | 1088948 |
| VALTAIRO, PHILLIP BUHAY | CFO/FINOP | 4481362 |
| VANNOY-PINEDA, KATHLEEN DENISE | CHIEF COMPLIANCE OFFICER | 1347526 |
Disclosures
Regulatory Event
1Arbitration
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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