Norman Fuller Barrett

Current Employers

Aegis Capital Corp.

1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States

Current Registrations

Authority	Category	Status	Date
MA	RA	APPROVED	2025-05-23
TX	RA	APPROVED	2024-11-15

MA RA
APPROVED

Since 2025-05-23
TX RA
APPROVED

Since 2024-11-15

Branch Locations

West Barnstable, MA • United States

1345 Avenue Of The Americas 27Th Floor, New York, NY 10105 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
Ubs Financial Services Inc	Hyannis	MA	02/2009	03/2018
Wells Fargo Clearing Services Llc	Hyannis	MA	03/2018	11/2024
Aegis Capital Corp	New York	NY	11/2024	Present

02/2009 → 03/2018

Ubs Financial Services Inc

Hyannis, MA
03/2018 → 11/2024

Wells Fargo Clearing Services Llc

Hyannis, MA
11/2024 → Present

Aegis Capital Corp

New York, NY

Previous Registrations

2024-08-13 → 2024-11-27

Wells Fargo Clearing Services, Llc

Hyannis, MA

West Barnstable, MA

Other Businesses

RENTAL PROPERTY, INV RELATED, WEST BARNSTABLE, MA, 100% OWNERSHIP, START 9/1/2019, 2 HOURS PER MONTH, ZERO DURING TRADING, LANDLORD. D/B/A FULLER BARRETT WEALTH MANAGEMENT, ALL SECURITIES OFFERRED THROUGH AEGIS CAPITAL CORP. START DATE: 01/09/2026.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-08-12
S63	Uniform Securities Agent State Law Examination	1996-01-26

S65 Uniform Investment Adviser Law Examination

2024-08-12
S63 Uniform Securities Agent State Law Examination

1996-01-26

Other Names

Sam Barrett
Norman F Iii Barrett

View on SEC IAPD