Jack A. Norwood
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.
Jack Arthur Norwood, who also goes by Jack A Norwood, was a registered financial advisor .
Jack is a previously registered financial advisor and started their career in finance in 1979. Jack had worked at 8 firms and has passed the Series 65, Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 1996 - May 2, 2006
CUNA BROKERAGE SERVICES, INC.
November 4, 1993 - May 2, 2006
CUNA BROKERAGE SERVICES, INC.
December 4, 1992 - October 29, 1993
CENTURY INVESTORS OF AMERICA, INC.
June 26, 1989 - September 11, 1992
EMPOWER FINANCIAL SERVICES, INC.
January 3, 1989 - September 24, 1992
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 9, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
March 3, 1986 - August 9, 1989
THE GREAT-WEST LIFE ASSURANCE COMPANY
April 9, 1979 - January 15, 1986
MONY SECURITIES CORPORATION
April 9, 1979 - January 16, 1986
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
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 1
Date: 3/27/1979
Registered Representative ExaminationCurrent Firm
CUNA BROKERAGE SERVICES, INC.
CRD#: 13941 / SEC#: 801-60099, 8-30027
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CUNA MUTUAL INVESTMENT CORPORATION | OWNER | |
| BARBATO, PAUL DAMIEN | SENIOR VICE PRESIDENT | 7064310 |
| BOAN, JOSEPH SALVATORE | PRESIDENT/DIRECTOR | 2379993 |
| BROCK, JENNY MARIE | TREASURER | 6654483 |
| COPELAND, CHRISTOPHER JUDD | DIRECTOR | 6437117 |
| HABERSTICH, MELISSA M | CHIEF COMPLIANCE OFFICER | 4190838 |
| KARLS, WILLIAM ANTON | DIRECTOR | 6847792 |
| POPPE, CHRISTINE ELIZABETH | LICENSING OFFICER | 4080909 |
| SCHULTZ, TAMMY LYNN | DIRECTOR | 7991087 |
| THOMAS, BARTH T | SECRETARY/DIRECTOR | 2849100 |
Regulatory assets under management
| Total Number of Accounts | 20,233 |
| AUM (Assets Under Management) | $ 5,790,352,615 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 6 |
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.
