Norman M. Marland
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 Miller Marland was a registered financial professional .
Norman is a previously registered financial professional and started their career in finance in 1976. Norman had worked at 5 firms and has passed the Series 63 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
July 12, 2011 - January 13, 2015
FINANCIAL STRATEGIES INVESTMENT ADVISOR SERVICES, INC.
January 2, 2009 - July 11, 2011
CRESTVIEW INVESTMENT ADVISORS, INC.
May 18, 1987 - December 31, 2008
CRESTVIEW INVESTMENT ADVISORS, INC.
June 19, 1983 - February 4, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 3, 1980 - February 24, 2011
CRESTVIEW SECURITIES, INC.
May 21, 1976 - September 22, 1978
TRUSTEED FUNDS, INC
Primary Firm SEC Registration
FINANCIAL STRATEGIES INVESTMENT ADVISOR SERVICES, INC.
CRD#: 113526 / SEC#: 801-132837
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 40
Date: 5/17/1976
Registered Principal ExaminationCurrent Firm
FINANCIAL STRATEGIES INVESTMENT ADVISOR SERVICES, INC.
CRD#: 113526 / SEC#: 801-132837
Contact information
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 478 |
| AUM (Assets Under Management) | $ 103,895,136 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/07/2025 | ||
| 11/21/2024 | ||
| 09/05/2024 | ||
| 07/22/2024 | ||
| 11/27/2023 |
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.
