Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nora? Claim Your ProfileNora Diana Barganier is a financial advisor with over 29 years of experience in the industry. Nora is currently registered with RBC Capital Markets, LLC, and is licensed in 44 states and the District of Columbia. Prior to joining RBC Capital Markets, Nora was a financial advisor with FIRST SOUTHWEST COMPANY and JEFFERIES & COMPANY, INC. Nora holds the Series 7, 62, 55 and 63 licenses, as well as the SIE exam. Nora specializes in providing financial planning, portfolio management and advisory services for individuals, businesses, and institutional clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
TX
02/29/2016 - Present
RBC Capital Markets, LLC (DALLAS TX)
TX
03/28/2007 - 03/14/2014
FIRST SOUTHWEST COMPANY (DALLAS TX)
TX
06/02/1992 - 06/07/2006
JEFFERIES & COMPANY, INC. (DALLAS TX)
BC
Issued 10/26/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/10/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/03/1994
Series 7 - General Securities Representative Examination
BC
Issued 10/02/1992
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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