Chester L. Norris

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CRD#: 846885

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.

Chester Levern Norris, who also goes by Chester L Norris, was a registered financial professional .

Chester is a previously registered financial professional and started their career in finance in 1977. Chester had worked at 9 firms and has passed the Series 63, Series 6TO, SIE, Series 1 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chester L Norris

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.

ST. MARK'S CHURCH POSITION: MEMBER-EDUCATION COMMITTEE NATURE: CHURCH COMMITTEE POSITION INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2022 ADDRESS: 1421 McFarland Boulevard, Northport AL 35476, United States DESCRIPTION: CHURCH ORGANIZATION/LEADERSHIP MEMBER (NO FINANCIAL RESPONSIBILITIES) NOTARY POSITION: NOTARY NATURE: NOTARY PUBLIC INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/04/2016 ADDRESS: 507 ENERGY CENTER BOULEVARD, #301, NORTHPORT AL 35473, United States DESCRIPTION: NOTARIZING DOCUMENTS FOR COLLEAGUES AT NO CHARGE KAIROS ADVISORY COUNCIL POSITION: VICE-CHAIRMAN NATURE: CHRISTIAN PRISON MINISTRY INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 6005 NORTHWOOD LAKE DRIVE E, NORTHPORT AL 35473, United States DESCRIPTION: ASSISTING THE CHAIRMAN AS THE NEED ARISES IN LEADING ADVISORY COUNCIL MEETINGS

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

March 16, 2023 - October 13, 2023

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

BIRMINGHAM, AL

Past

February 16, 2023 - October 13, 2023

PRUCO SECURITIES, LLC.

CRD#: 5685

BIRMINGHAM, AL

Past

January 19, 2012 - January 19, 2023

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

BIRMINGHAM, AL

Past

June 20, 2011 - January 19, 2023

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

BIRMINGHAM, AL

Past

August 8, 2002 - February 6, 2004

ASSOCIATED INVESTMENT MANAGEMENT INC

RIA

CRD#: 106774

TUSCALOOSA, AL

Past

April 22, 2002 - June 7, 2011

VERITRUST FINANCIAL, LLC

CRD#: 106594

AUSTIN, TX

Past

August 3, 1993 - April 22, 2002

ARAGON FINANCIAL SERVICES, INC.

CRD#: 16023

IRVINE, CA

Past

January 24, 1992 - October 14, 1993

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

January 15, 1990 - January 27, 1992

NATIONWIDE SECURITIES, LLC

CRD#: 11173

COLUMBUS, OH

Past

May 12, 1987 - December 31, 1989

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

December 21, 1977 - August 26, 1985

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/3/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 12/12/1977

Registered Representative Examination

Principal/Supervisory Exam

Series 26

Date: 12/1/2003

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

751 Broad Street, Newark, NJ 07102-3777

Mailing Address

751 Broad Street, Newark, NJ 07102-3777

Phone number

(973) 802-6000

Established

New Jersey since 09/22/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

387

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SOLE MEMBER
FELICIANO, DEXTER MICHAEL	PRESIDENT	5483537
FLORIO, KELLY NICOLE	ANTI-MONEY LAUNDERING OFFICER	6446272
FONTANO, ANTHONY MICHAEL	ELECTED MANAGER	6852155
HYNES, PATRICK LIAM	CHAIRMAN, ELECTED MANAGER	2748918
PATEL, PARANJ	CHIEF COMPLIANCE OFFICER	4235738
SMIT, ROBERT PHILIP	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER	2332366
THOMSEN, JORDAN KARSTEN	CHIEF LEGAL OFFICER	2821664

Disclosures

Regulatory Event	30
Arbitration	13
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
12/22/2023	Cover Page	Report
12/22/2023	Cover Page	Report

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.

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Firm Stability Insights

Chester L. Norris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRUCO SECURITIES, LLC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

ASSOCIATED INVESTMENT MANAGEMENT INC

VERITRUST FINANCIAL, LLC

ARAGON FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NATIONWIDE SECURITIES, LLC

VOYA FINANCIAL ADVISORS, INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 11/3/1993

Series 6TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 12/12/1977

Series 26

Date: 12/1/2003

Current Firm

PRUCO SECURITIES, LLC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRUCO SECURITIES, LLC.

TRUST BUT VERIFY

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