Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Norman? Claim Your ProfileNorman Thorn Robertson is a financial advisor with over 30 years of experience. Norman has a strong background in the financial services industry, having worked at several prominent firms, including Prudential Securities Incorporated, Lehman Brothers Inc., Talley, McNeil & Tormey, Inc., Prudential-Bache Securities Inc., and IDS Marketing Corporation. Norman holds multiple licenses and designations, including Series 7, Series 63, and Series 65. Norman is currently registered with Morgan Stanley, offering a wide range of financial services including portfolio management for individuals, investment companies, and businesses.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
05/09/2017 - Present
Morgan Stanley (Montecito CA)
CA
07/01/2003 - 05/08/2017
WELLS FARGO CLEARING SERVICES, LLC (SANTA BARBARA CA)
NY
10/21/1992 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
08/22/1989 - 10/29/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
09/28/1987 - 08/10/1989
TALLEY, MCNEIL & TORMEY, INC.
NA
09/20/1983 - 09/29/1987
PRUDENTIAL-BACHE SECURITIES INC.
NA
06/22/1983 - 03/22/1985
IDS MARKETING CORPORATION
IA
Issued 08/03/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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