Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Norman? Claim Your ProfileNorman Richard Sarafian is a financial professional with over 40 years of experience in the industry. Norman has a broad background in the securities business, with experience in both broker-dealer and investment advisor roles. Norman is currently registered as a Registered Representative and Investment Advisor Representative with RBC Capital Markets, LLC. Norman is also registered with FINRA and has a Series 7TO, Series 66, Series 63, SIE, and Series 1 licenses. Norman has been with RBC Capital Markets, LLC since 2009 and has experience working with a variety of client types, including high-net-worth individuals, corporations, and charitable organizations.
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.
1
2
NV
03/31/2017 - Present
RBC Capital Markets, LLC (RENO NV)
CA
07/18/1988 - 11/07/2009
CROWELL, WEEDON & CO. (PASADENA CA)
NA
06/23/1978 - 09/13/1988
KIDDER, PEABODY & CO. INCORPORATED
NA
09/26/1978 - 02/12/1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
07/09/1976 - 09/26/1978
WHITE, WELD & CO. INCORPORATED
NA
07/07/1975 - 08/02/1976
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
NA
11/29/1973 - 08/05/1975
PRUDENTIAL-AMERICAN SECURITIES, INC.
NA
07/03/1973 - 01/01/1974
BLYTH EASTMAN DILLON & CO. INCORPORATED
BOTH
Issued 09/07/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/18/1980
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 09/07/1977
PC - AMEX Put and Call Exam
BC
Issued 06/27/1973
Series 1 - Registered 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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