Norman D. Adams
Professional summary
Norman Douglas Adams, who also goes by Doug Adams, is a registered financial advisor currently at TOCQUEVILLE ASSET MANAGEMENT LP located in New York, New York and TOCQUEVILLE SECURITIES L.P. located in New York, New York.
Norman is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1977. Norman has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 16, Series 3, Series 5, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Norman Douglas Adams's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 21, 2021 - Present
TOCQUEVILLE ASSET MANAGEMENT LP
Office #1: 40 West 57th Street 19th Floor, New York, NY 10019September 13, 2004 - Present
TOCQUEVILLE SECURITIES L.P.
Office #1: 40 West 57th Street 19th Floor, New York, NY, 10019Office #2: 40 West 57th Street 19th Floor, New York, NY, 10019January 9, 1997 - September 15, 2004
DAVENPORT & COMPANY LLC
January 7, 1997 - September 15, 2004
DAVENPORT & COMPANY LLC
November 13, 1989 - January 3, 1997
BRANCH, CABELL & CO., INC.
February 11, 1980 - November 16, 1989
FIRST UNION CAPITAL MARKETS CORP.
May 5, 1978 - March 8, 1980
DAIN RAUSCHER INCORPORATED
June 1, 1977 - May 5, 1978
BOSWORTH SULLIVAN & COMPANY INCORPORATED
Primary Firm SEC Registration
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/13/2004)
(9/13/2004)
(8/4/2008)
(10/29/2004)
(4/21/2006)
(9/13/2004)
(9/13/2004)
(10/2/2012)
(10/2/2012)
(9/13/2004)
(8/21/2021)
(9/13/2004)
(6/19/2014)
(9/13/2004)
(9/13/2004)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 5
Date: 7/28/1982
Interest Rate Options ExaminationFINRA
Current Firm
TOCQUEVILLE ASSET MANAGEMENT LP
CRD#: 105690 / SEC#: 801-36209
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,440 |
| AUM (Assets Under Management) | $ 9,660,385,107 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 09/27/2024 | ||
| 02/22/2024 | ||
| 03/16/2023 |
Red Flags
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