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Norman Ellsworth Mains

WAVEFRONT CAPITAL MANAGEMENT, LP·SAN FRANCISCO, California
SIE, Series 3, Series 5, Series 7, Series 24, Series 63Clean recordWAVEFRONT CAPITAL MANAGEMENT, LP
301 BATTERY ST., SAN FRANCISCO, CA 94111CRD# 1092815Firm CRD# 168746

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Norman Ellsworth Mains · SAN FRANCISCO, CA
Registration
CRD #1092815 · WAVEFRONT CAPITAL MANAGEMENT, LP
Brand Profile
Not yet started
01

Registrations & Exams

FINRA examinations passed
SIE
Series 3
Series 5
Series 7
Series 24
Series 63
02

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

03

Firm Overview

Firm
WAVEFRONT CAPITAL MANAGEMENT, LP
CRD 168746 · SEC 801-81070
AUM
$14M
Regulatory assets under management
Employees
3
15 client accounts
Services offered by WAVEFRONT CAPITAL MANAGEMENT, LP
Per Form ADV
Portfolio management (pooled investments)
Pension consulting
Selection of other advisers
Client types served by the firm
Per Form ADV
Institutional Investors
Pension & Retirement Plans
View all advisors at WAVEFRONT CAPITAL MANAGEMENT, LP →
Introduction

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Frequently Asked Questions

What services does Norman Ellsworth Mains offer?
Norman Ellsworth Mains specializes in Investment Management, Retirement Planning, Wealth Management, Fee-Only Advisory. Contact their office in SAN FRANCISCO, California for a consultation.
What are Norman Ellsworth Mains's credentials?
Norman Ellsworth Mains is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Norman Ellsworth Mains located?
Norman Ellsworth Mains is based in SAN FRANCISCO, California, working with WAVEFRONT CAPITAL MANAGEMENT, LP. Their office serves clients in the SAN FRANCISCO metropolitan area and surrounding communities.
How does Norman Ellsworth Mains charge for services?
Norman Ellsworth Mains's firm is compensated through percentage of aum. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is WAVEFRONT CAPITAL MANAGEMENT, LP?
WAVEFRONT CAPITAL MANAGEMENT, LP has approximately 3 employees and manages $14M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Research
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