Norman P. Fuchs
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.
Norman Phillip Fuchs, who also goes by Norman P Fuchs, was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1981. Norman had worked at 17 firms and has passed the Series 65, Series 63, Series 82TO, Series 99TO, SIE, Series 87, Series 7, Series 14, Series 27, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 23, 2022 - May 5, 2025
HAPI
June 24, 2021 - December 31, 2023
ANALYTECHS LLC
April 2, 2020 - December 4, 2020
HAMERSHLAG SULZBERGER BORG CAPITAL MARKETS, INC.
February 22, 2018 - May 31, 2022
PLANNER SECURITIES LLC
April 1, 2016 - July 25, 2017
LUCID CAPITAL MARKETS, LLC
June 22, 2015 - March 28, 2016
B. RILEY WEALTH ADVISORS, INC.
May 18, 2015 - March 28, 2016
NATIONAL SECURITIES CORPORATION
August 8, 2012 - May 15, 2015
OLDFIELD CAPITAL GROUP LLC
June 4, 2009 - December 18, 2012
VCS VENTURE SECURITIES
November 12, 2004 - June 2, 2009
AMERICAN UNION SECURITIES, INC.
January 4, 2002 - October 24, 2003
SOURCE CAPITAL GROUP, INC.
April 29, 1997 - June 7, 2001
CROWN FINANCIAL GROUP, INC.
November 6, 1995 - June 19, 1997
WHEATEN PARTNERS, LTD.
October 6, 1994 - April 24, 1995
MIDSOUTH CAPITAL, INC.
July 12, 1994 - September 23, 1994
FAB SECURITIES OF AMERICA, INC.
June 17, 1983 - November 29, 1990
CORNWALL SECURITIES, INC.
August 25, 1981 - September 21, 1981
KUHNS BROTHERS & LAIDLAW, 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
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
HAPI
CRD#: 311868 / SEC#: , 8-70646
Contact information
FINRA licenses (3 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAPI CORP. | OWNER | |
| MAYNARD-PHILIPP, CHRISTIAN DESEREE | CEO, CCO | 6592228 |
Red Flags
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