The following is a summary of events that took place between 1994 and 2011 to professional Norman Peter Rounds (“Rounds”). Rounds deems it appropriate and in the best interest of the public to make these facts available.
EARLY CAREER
Norman P. Rounds began his professional career in the securities industry in his early 20’s as a young stockbroker and financial planner. Rounds earned series 7, 24, 52, 53, 3 and 63 national securities licenses, a full line Colorado insurance broker license and a Colorado real estate license. In 1979, he earned a Certified Financial Planner (CFP) designation. He was the president of Colorado Investment Dealers Association in 1980.
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