Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Norman? Claim Your ProfileNorman Dix is a financial advisor at Wells Fargo Clearing Services, LLC in WOODLAND HILLS, CA. Norman has been working in the financial services industry since 1974. Prior to joining Wells Fargo Clearing Services, LLC, Norman worked for UBS FINANCIAL SERVICES INC., PRUDENTIAL SECURITIES INCORPORATED, SHEARSON LEHMAN HUTTON INC., CIGNA SECURITIES, INC., MUNICICORP OF CALIFORNIA, SECURITY FIRST FINANCIAL, INC., and ALLSTATE ENTERPRISES MANAGEMENT COMPANY.
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.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
02/17/2009 - Present
Wells Fargo Clearing Services, LLC (WESTLAKE VILLAGE CA)
CA
05/11/1994 - 03/04/2009
UBS FINANCIAL SERVICES INC. (WOODLAND HILLS CA)
NY
04/09/1990 - 05/09/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
11/12/1984 - 04/11/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
06/17/1975 - 02/25/1985
CIGNA SECURITIES, INC.
NA
07/26/1983 - 10/16/1984
MUNICICORP OF CALIFORNIA
NA
01/31/1982 - 06/22/1982
SECURITY FIRST FINANCIAL, INC.
NA
05/09/1974 - 11/03/1974
ALLSTATE ENTERPRISES MANAGEMENT COMPANY
BC
Issued 06/02/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/1988
PC - AMEX Put and Call Exam
BC
Issued 05/03/1974
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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