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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Norman? Claim Your ProfileNorman Santos Labrador is a registered investment advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Norman Santos Labrador has been in the industry since November 1993. Norman Santos Labrador is a registered representative in Arizona, California, Colorado, Florida, Hawaii, Idaho, Illinois, Maryland, Massachusetts, Nevada, New Mexico, New York, North Carolina, Ohio, Oregon, Tennessee, Texas, and Washington. Norman Santos Labrador is also a registered investment advisor in California and Texas. Norman Santos Labrador has passed the Series 4, 7, 8, 9, 10, 24, 63, and 65 exams. Norman Santos Labrador is a registered principal for Merrill Lynch, Pierce, Fenner & Smith Inc.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
10/10/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PASADENA CA)
CA
01/05/2007 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (PASADENA CA)
CA
11/07/1997 - 12/04/2006
TD AMERITRADE, INC. (BEVERLY HILLS CA)
CA
05/05/1994 - 11/07/1997
KENNEDY, CABOT & CO. (BEVERLY HILLS CA)
NY
10/16/1993 - 04/22/1994
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
IA
Issued 08/29/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/31/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 11/13/1995
Series 24 - General Securities Principal Examination
BC
Issued 06/09/1995
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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