Norman D. Shirley
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 Douglas Shirley was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1981. Norman had worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 51 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
April 22, 2003 - November 18, 2019
COMMONWEALTH FINANCIAL PLANNERS INC
May 11, 1988 - September 3, 2019
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 12, 1982 - May 17, 1988
RETIREMENT INVESTMENT GROUP
July 20, 1981 - August 24, 1981
AMERICAN VENTURE SECURITIES, INC.
Primary Firm SEC Registration
COMMONWEALTH FINANCIAL PLANNERS INC
CRD#: 106831 / SEC#: 801-112991
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
COMMONWEALTH FINANCIAL PLANNERS INC
CRD#: 106831 / SEC#: 801-112991
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 314 |
| AUM (Assets Under Management) | $ 203,578,162 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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