Individual Firm
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NORMAN MARTIN FISHBEIN
CRD#: 208493
IA
B
STIFEL, NICOLAUS & COMPANY, INCORPORATEDCRD#: 793 1225 FRANKLIN AVENUE
SUITE 150
GARDEN CITY, NY 11530
SUITE 150
GARDEN CITY, NY 11530
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4/20/2004
Customer Dispute
Denied
12/1/1985
Customer Dispute
Settled
11/28/1975
Regulatory
Final
State Registrations
B
Florida 7/10/2007
IA
New York 5/26/2021
B
New York 7/10/2007
SRO Registrations
B
B
B
B
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 7/10/2007
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Registered with this firm since 7/10/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/25/2006 - 07/10/2007 | UNIONDALE, NY | |
B | 08/18/2006 - 07/10/2007 | UNIONDALE, NY | |
B | 07/31/1993 - 08/16/2006 | MANHASSET, NY | |
B | 11/22/1977 - 07/31/1993 | NEW YORK, NY | |
B | 11/17/1976 - 11/22/1977 | ||
B | 11/08/1974 - 11/17/1976 | ||
B | 07/13/1973 - 11/08/1974 | ||
B | 09/01/1967 - 07/02/1973 | ||
B | 07/29/1971 - 06/14/1973 | ||
B | 05/02/1973 - 05/30/1973 | ||
B | 04/01/1971 - 05/26/1971 |
11/17/1976 - 11/22/1977
11/08/1974 - 11/17/1976
07/13/1973 - 11/08/1974
05/02/1973 - 05/30/1973
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.