Norman JonesCRD Number: 5598017
Current Firm: Transamerica Financial Advisors, Inc.
Norman Jones (CRD# 5598017) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Fort Collins, CO and has over 9 years of experience in the finance industry.
First National Capital Markets, Inc.
Martin Wealth Management, LLC
Contryman Wealth Advisors
|My Business Referral Network||Fort Collins, CO||Feb 2014 - Current||4|
|Transamerica Financial Advisors, Inc.||Fort Collins, CO||Jan 2012 - Current||6|
|Rising Phoenix Financial, LLC||Fort Collins, CO||Dec 2008 - Current||9|
|World Financial Group||Fort Collins, CO||Jul 2008 - Current||9|
|Mmj Group, Inc /dba Wolfram & Hart Services||Fort Collins, CO||Jan 2008 - Current||10|
|Tail Waggin, LLC||Fort Collins, CO||Sep 2006 - Nov 2017||11|
|Canonical Usa||Lexington, MA||Jul 2015 - Apr 2017||1|
|Insurance Annex||Fort Collins, CO||Jun 2010 - Jun 2013||3|
|Investment Advisors International, Inc.||Fort Collins, CO||Jan 2009 - Jan 2012||3|
|World Group Securities, Inc.||Fort Collins, CO||Sep 2008 - Jan 2012||3|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 2009|
|S65||NASAA Investment Advisors Law Examination||Dec 2008|
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:
- Financial Issue
Total Assets Under Management969MILLIONS
Total Number of Accounts14,750ACCOUNTS
Average Account Value$65,719
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, 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
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