Norbert W. Enslen
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.
Norbert William Enslen, who also goes by Nobby Enslen, Norbert William Enslen Jr, Norbert William Enslen Jr Jr, was a registered financial professional .
Norbert is a previously registered financial professional and started their career in finance in 1977. Norbert had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5 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
June 18, 2008 - December 10, 2018
CAPITAL CITY SECURITIES, LLC
June 7, 2007 - December 10, 2018
CAPITAL CITY ASSET MANAGEMENT GROUP, LLC
January 22, 2007 - January 22, 2008
REGIS SECURITIES CORPORATION
July 12, 2006 - December 31, 2006
REGIS SECURITIES CORPORATION
April 11, 2001 - April 24, 2006
MORGAN STANLEY DW INC.
April 4, 1998 - April 24, 2006
MORGAN STANLEY DW INC.
October 18, 1993 - March 13, 1998
UBS FINANCIAL SERVICES INC.
July 31, 1993 - October 22, 1993
CITIGROUP GLOBAL MARKETS INC.
November 22, 1977 - July 31, 1993
LEHMAN BROTHERS INC.
November 9, 1977 - November 22, 1977
SHEARSON HAYDEN STONE INC.
July 26, 1977 - October 12, 1977
FIRST UNION CAPITAL MARKETS CORP.
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 5
Date: 10/17/1981
Interest Rate Options ExaminationCurrent Firm
CAPITAL CITY SECURITIES, LLC
CRD#: 146001 / SEC#: , 8-67771
Contact information
FINRA licenses (27 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAPITAL CITY PARTNERS, INC. | OWNER/MANAGING MEMBER | |
| CRAWFORD, TODD EDWARD | CCO | 1951009 |
| CRAWFORD, TODD EDWARD | PRESIDENT | 1951009 |
| ROLAND, JAMES MERVIN | V. P. COMPLIANCE AND OPERATIONS | 1871181 |
| ROLAND, JAMES MERVIN | OPTIONS PRINCIPAL | 1871181 |
| TOMASELLO, JAC GERARD | MP | 1749835 |
| TOMASELLO, JAC GERARD | GENERAL PRINCIPAL | 1749835 |
| TOMASELLO, JAC GERARD | FIN OP | 1749835 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
Red Flags
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