Norman LemusCRD Number: 5524913
Current Firm: Ubs Financial Services Inc.
Norman Lemus (CRD# 5524913) is an Investment Advisor Representative working at Ubs Financial Services Inc. in Phoenix, AZ and has over 8 years of experience in the finance industry.
Newman's Financial Planning
Woodbury Financial Services, Inc.
Triad Advisors, Inc.
|Ubs Financial Services Inc.||Phoenix, AZ||Feb 2011 - Current||5|
|Bank Of America, Na||Phoenix, AZ||Dec 2009 - Feb 2011||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated (7691)||Phoenix, AZ||Sep 2009 - Feb 2011||1|
|Ubs Financial Services Inc.||Surprise, AZ||Apr 2008 - Sep 2009||1|
|Robert Half International||Phoenix, AZ||Mar 2008 - Apr 2008||< 1|
|Unemployed||Peoria, AZ||Jan 2008 - Feb 2008||< 1|
|Quicken Loans||Scottsdale, AZ||Aug 2007 - Dec 2007||< 1|
|Sallie Mae||Phoenix, AZ||Aug 2004 - Jul 2007||2|
|Exam Code||Name||Passed Date|
|S66||NASAA Uniform Combined State Law Examination||Jun 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 Management358,253MILLIONS
Total Number of Accounts860,383ACCOUNTS
Average Account Value$416,388
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Security ratings or pricing services
- Educational seminars/workshops
AK, AL, AR, 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, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV