Norman N. Mammon

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CRD#: 7582768

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 Nathan Mammon, who also goes by Norman Mammon, was a registered financial professional .

Norman is a previously registered financial professional and started their career in finance in 2022. Norman had worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Aliases

Norman Mammon

Other business activities

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.

1. RAYMOND JAMES LTD ("RJL"), A REGISTERED INVESTMENT DEALER WITH IIROC, IS THE CANADIAN AFFILIATE AND PARENT COMPANY OF RAYMOND JAMES (USA) LTD. THE BUSINESS IS INVESTMENT RELATED. Norman Mammon IS LOCATED AT 3762 10th Avenue West, Vancouver BC, V6R 2G4, Canada, AND HAS BEEN EMPLOYED SINCE November 2021. HE IS A FULL TIME AGENT AND HIS TITLE WITH RJL IS Financial Advisor Associate. HE DEVOTES 40 HOURS A MONTH TO THIS BUSINESS DURING BUSINESS AND TRADING HOURS. HIS JOB DUTIES INCLUDE SALES.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 22, 2022 - March 27, 2023

RAYMOND JAMES (USA) LTD.

RIA

CRD#: 25853

Vancouver, BC,

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

RAYMOND JAMES (USA) LTD.

GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.

CRD#: 25853 / SEC#: 801-72137, 8-42071

RIA

Registered Investment Advisory firm - SEC (2/10/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/22/2022

Uniform Investment Adviser Law Examination

Current Firm

RAYMOND JAMES (USA) LTD.

GOEPEL MCDERMID (USA) INC. | RAYMOND JAMES LTD (USA), INC. | RAYMOND JAMES (USA) LTD. | RAYMOND JAMES (USA) LTD | GOEPEL, SHIELDS & PARTNERS USA, INC.

CRD#: 25853 / SEC#: 801-72137, 8-42071

RIA

Registered Investment Advisory firm - SEC (2/10/2011 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

925 West Georgia Street - 2100, Vancouver, V6C3L2

Mailing Address

925 West Georgia Street - 2100, Vancouver, B.c., V6C 3L2

Phone number

(604) 659-8200

Established

Firm type

Corporation

Fiscal year end

September

Firm Size

Medium

# of Employees

175

SEC notice filing (31 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

RJLU WRAP ADV PART2A 2026 (12/8/2025)

Direct owners and executive officers

Name	Position	CRD#
RAYMOND JAMES LTD.	OWNER
AYYUB, HARRIS	SR. MANAGER & CHIEF COMPLIANCE OFFICER (ACTING)	7789868
BALEZENTIS, PATRICIA	DIRECTOR	2262711
BARKO, SHAWN JOSEPH	DIRECTOR	2690394
BOYLE, SEAN PATRICK	DIRECTOR	5517025
LIM, CHRISTOPHER JOHN	CHIEF FINANCIAL OFFICER	6090679
MARCUS, STEVEN ROBERT	DIRECTOR, PRESIDENT AND CHIEF EXECUTIVE OFFICER	2820004
SERBANOS, EFSTRATIOS MICHAEL	GENERAL COUNSEL	2267667

Regulatory assets under management

Total Number of Accounts	4,869
AUM (Assets Under Management)	$ 1,991,381,912

Disclosures

Regulatory Event

Red Flags

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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Norman N. Mammon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES (USA) LTD.

Primary Firm SEC Registration

RAYMOND JAMES (USA) LTD.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/22/2022

Current Firm

RAYMOND JAMES (USA) LTD.

Contact information

SEC notice filing (31 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

RAYMOND JAMES (USA) LTD.

TRUST BUT VERIFY

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