Norman Speight (CRD# 1440224) is an Investment Advisor Representative working at Stifel, Nicolaus & Company, Incorporated in Dublin, OH and has over 32 years of experience in the finance industry.
CRD# 4716667
Rebel Financial, LLC
Score
107
CRD# 5173809
Ameriprise Financial Services, Inc.
Score
103
CRD# 1317149
Pds Planning Inc.
Score
103
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Stifel Nicolaus & Co Inc. | Dublin, OH | Sep 2009 - Current | 8 |
| Morgan Stanley Smith Barney | Dublin, OH | Jun 2009 - Sep 2009 | < 1 |
| Citigroup Global Markets Inc. | Dublin, OH | Jul 1993 - Sep 2009 | 16 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jan 1986 |
| S65 | NASAA Investment Advisors Law Examination | Dec 2009 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Customer Dispute
- CA
- OH
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Total Assets Under Management53,887MILLIONS
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Total Number of Accounts141,170ACCOUNTS
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Average Account Value$381,719
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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