Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Norman? Claim Your ProfileNorman Fuller Barrett is a financial professional with over 25 years of experience in the financial services industry. Norman has worked with Aegis Capital Corp. since November 2024. Prior to that, Norman was a financial advisor with UBS Financial Services Inc. from 2009 to 2018, and Wells Fargo Clearing Services LLC from 2018 to 2018. Norman holds several industry certifications and registrations including Series 6, 7, 9, 10, 31, 63 and 65. Norman specializes in providing financial planning, portfolio management for individuals and businesses, and portfolio management for pooled investment vehicles.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
MA
11/15/2024 - Present
Aegis Capital Corp. (WEST BARNSTABLE MA)
MA
02/27/2009 - 03/13/2018
UBS FINANCIAL SERVICES INC. (HYANNIS MA)
MA
05/07/1999 - 03/20/2009
CITIGROUP GLOBAL MARKETS INC. (HYANNIS MA)
MA
01/15/1996 - 06/04/1999
SIGNATOR INVESTORS, INC. (BOSTON MA)
MA
01/15/1996 - 05/01/1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 08/12/2024
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/26/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/17/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/04/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/14/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 06/23/1999
Series 7 - General Securities Representative Examination
BC
Issued 01/12/1996
Series 6 - Investment Company Products/Variable Contracts 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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