Xiaochuan Guo

NORMA FINANCIAL LLC

Austin, TX

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CRD#: 7644721

Professional summary

Xiaochuan Guo, who also goes by XIaochuan Guo Mr., is a registered financial advisor currently at NORMA FINANCIAL LLC located in Austin, Texas.

Xiaochuan is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2022. Xiaochuan has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Xiaochuan Guo Mr.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Xiaochuan Guo's CRS (Customer Relationship Summary).

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

Current

October 25, 2022 - Present

NORMA FINANCIAL LLC

RIA

CRD#: 323740

Austin, TX

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(10/25/2022)

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: 8/26/2022

Uniform Investment Adviser Law Examination

Current Firm

NORMA FINANCIAL LLC

CRD#: 323740 / SEC#:

Texas

Registered Investment Advisory firm - (10/25/2022 Approved)

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Contact information

Main Address

Austin, TX

Mailing Address

Phone number

(512) 922-7186

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	1
AUM (Assets Under Management)	$ 7,040,546

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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Firm Stability Insights

Xiaochuan Guo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Xiaochuan Guo's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORMA FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/26/2022

Current Firm

NORMA FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NORMA FINANCIAL LLC

TRUST BUT VERIFY

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