William S. Norman
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.
William Scott Norman was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1976. William had worked at 5 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, Series 31, Series 27, Series 24, Series 53, F04 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2020 - September 20, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 7, 2020 - September 20, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 13, 2013 - December 8, 2020
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - December 8, 2020
RAYMOND JAMES & ASSOCIATES, INC.
April 6, 2004 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
March 6, 1990 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
February 18, 1976 - February 14, 1990
W. N. ESTES & COMPANY, INC.
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationF04
Date: 4/26/1976
Financial Principal ExaminationSeries 40
Date: 3/24/1976
Registered Principal ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
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.
Company Information
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Financial AdvisorCRD#: 149018TRUST BUT VERIFY
Monitor William Norman
Get automatic monthly alerts on:
