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Alan Lee Norris

Norris Wealth Management, LLC

Phoenix, AZ

CRD 1786901

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Employer firm

Norris Wealth Management, LLC CRD 157800

$19.0M regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Norris Wealth Management, Llc

Phoenix, AZ • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2016-08-03
AZ RA APPROVED 2011-08-09
  • TX RA
    APPROVED_RES
    Since 2016-08-03
  • AZ RA
    APPROVED
    Since 2011-08-09

Branch Locations

Phoenix, AZ • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Norris Wealth Management, Llc Phoenix AZ 06/2011 Present
Previous Registrations
  • 2005-10-21 → 2011-09-30
    Independent Financial Group, Llc
    Phoenix, AZ
    Phoenix, AZ
  • 2004-01-14 → 2005-10-21
    Independent Financial Group, Llc
    Phoenix, AZ
  • 2002-04-11 → 2003-12-11
    Sentra Securities Corporation
    Phoenix, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-12-13
S63 Uniform Securities Agent State Law Examination 1988-02-26
  • S66 Uniform Combined State Law Examination
    2002-12-13
  • S63 Uniform Securities Agent State Law Examination
    1988-02-26
Designations
  • Certified Financial Planner
Other Names
  • Allen Lee Norris

View on SEC IAPD

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