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NK

Norman C. Kristoff

Some features on this profile are disabled
CRD#: 844758
NK

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 Christian Kristoff was a registered financial professional .

Norman is a previously registered financial professional and started their career in finance in 1977. Norman had worked at 11 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 12, 2005 - June 11, 2012

TERRANOVA CAPITAL EQUITIES, INC

BD
CRD#: 45097
NEW YORK, NY
Past

November 29, 2001 - December 3, 2003

MORGAN SPAULDING, INC.

BD
CRD#: 44604
DALLAS, TX
Past

October 2, 2000 - March 15, 2001

MORGAN SPAULDING, INC.

BD
CRD#: 44604
DALLAS, TX
Past

June 8, 1998 - July 19, 2000

PACIFIC CONTINENTAL SECURITIES CORPORATION

BD
CRD#: 2398
BEVERLY HILLS, CA
Past

May 12, 1998 - June 26, 1998

THE CAMELOT GROUP, INC.

BD
CRD#: 31091
FT LAUDERDALE, FL
Past

May 30, 1997 - January 16, 1998

WILLIAM SCOTT & CO. L.L.C.

BD
CRD#: 14979
UNION, NJ
Past

May 3, 1995 - May 13, 1997

FIRST LIBERTY INVESTMENT GROUP, INC.

BD
CRD#: 3536
PHILADELPHIA, PA
Past

July 30, 1992 - December 22, 1992

WESTFIELD FINANCIAL CORPORATION

BD
CRD#: 8143
NEW YORK, NY
Past

September 26, 1991 - May 29, 1992

AUGMENT SECURITIES INC.

BD
CRD#: 28373
NEW YORK, NY
Past

October 1, 1990 - May 24, 1991

LCP CAPITAL CORP.

BD
CRD#: 14469
STATEN ISLAND, NY
Past

March 21, 1978 - May 11, 1990

YAMAICHI INTERNATIONAL (AMERICA) INC.

BD
CRD#: 909
NEW YORK, NY
Past

October 26, 1977 - April 8, 1978

E. F. HUTTON & COMPANY INC

BD
CRD#: 235

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/19/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/1977
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/17/1982
General Securities Principal Examination

Current Firm

TC
TERRANOVA CAPITAL EQUITIES, INC
EUROPEAN AMERICAN EQUITIES, INC. | TN CAPITAL EQUITIES, LTD | TERRANOVA CAPITAL EQUITIES, INC. | TERRANOVA CAPITAL EQUITIES, INC | HORNBLOWER CAPITAL SECURITIES, INC. | GROWVEST CAPITAL SECURITIES, INC. | EUROPEAN AMERICAN EQUITIES, LTD.

CRD#: 45097 / SEC#: , 8-50973

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Mailing Address
420 Lexington Avenue Suite 1402, New York, NY 10170
Phone number
(212) 381-7391
Established
Delaware since 03/18/1998
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (39 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TERRANOVA CAPITAL PARTNERS, INC.SHAREHOLDER
CERNY, CRAIG JONATHANCHIEF EXECUTIVE OFFICER1538404
GELB, PETER RICHARDCOO/CFO2542816
GOODE, JACQUELINE MARIECCO1292607
MATTERA, RICHARD JOSEPHFINANCIAL OPERATIONS OFFICER2246513
STEINMETZ, JOHN FRANCISCHAIRMAN & PRESIDENT1132822

Disclosures

Regulatory Event4

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

TERRANOVA CAPITAL EQUITIES, INC

CRD#: 45097

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