Norbert L. Wiggins
Professional summary
Norbert Louis James Wiggins was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Norbert is a previously registered financial professional and started their career in finance in 1980. Prior to being barred, Norbert had worked at 7 firms, which includes WATERSTONE FINANCIAL GROUP INC., PRUDENTIAL EQUITY GROUP LLC, THOMSON MCKINNON SECURITIES INC., BLUNT ELLIS & LOEWI INCORPORATED, NEWHARD COOK & CO. INCORPORATED, OTC NET INCORPORATED, AMERICAN WESTERN SECURITIES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 22, 1991 - August 7, 2003
WATERSTONE FINANCIAL GROUP, INC.
August 25, 1989 - December 28, 1990
PRUDENTIAL EQUITY GROUP, LLC
April 19, 1989 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
October 5, 1982 - April 25, 1989
BLUNT ELLIS & LOEWI INCORPORATED
June 29, 1982 - October 1, 1982
NEWHARD, COOK & CO. INCORPORATED
November 4, 1981 - June 9, 1982
OTC NET INCORPORATED
March 21, 1980 - September 2, 1981
AMERICAN WESTERN SECURITIES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
WATERSTONE FINANCIAL GROUP, INC.
CRD#: 10078 / SEC#: , 8-44243
Contact information
Documents
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 | 1 |
| Arbitration | 2 |
Red Flags
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