Norman H. Bouton
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 Hartland Bouton JR was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1976. Norman had worked at 6 firms and has passed the Series 63, SIE, PC and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 16, 2007 - August 29, 2016
NPB FINANCIAL GROUP, LLC
September 26, 2005 - March 12, 2007
ASSOCIATED SECURITIES CORP.
August 2, 2005 - September 23, 2005
NATIONAL PLANNING CORPORATION
August 23, 2002 - August 11, 2005
ASSOCIATED SECURITIES CORP.
December 21, 1990 - August 26, 2002
PORTSMOUTH FINANCIAL SERVICES
February 15, 1988 - December 21, 1990
LEHMAN BROTHERS INC.
May 20, 1976 - February 15, 1988
E. F. HUTTON & COMPANY 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
PC
Date: 8/31/1977
AMEX Put and Call ExamCurrent Firm
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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