Five Star award winner John L. Norman

PROFESSIONAL ACCOMPLISHMENTS

AWARDS

Five Star Wealth Manager award winner 2020, 2021, 2022, 2023
Former Greater Dallas Business Ethics Award Chairman 2000, 2001
O.C. Jackson NAIFA-Dallas Hall of Fame Award 2015
Mel Myers NAIFA-Dallas Advisor of the Year Award 2022
4 time Royal Blue Award Winner
Golden Eagle Award Winner

ACCOMPLISHMENTS

President of NAIFA-Dallas in 2008
Chief Investment Officer of NAIFA-Dallas from 2013 to current

Designations and Education

Achieved Chartered Life Underwriter & Chartered Financial Consultant designations from the American College in 2001
Completed national training program for Special Needs Financial Planning in 2020

Registered Representative of, and Securities and Investment Advisory Services offered through Hornor, Townsend & Kent, LLC (HTK), a Registered Investment Advisor, Member FINRA/SIPC. 600 Dresher Road, Horsham, PA 19044 phone: 800-873-7637 Penn Mutual Wealth Strategies is unaffiliated with HTK. HTK is a wholly owned subsidiary of The Penn Mutual Life Insurance Company. HTK does not offer tax or legal advice. Always consult a qualified advisor regarding your individual circumstances. John Norman is insurance licensed in the following states: Arizona, Arkansas, California, Colorado, Florida, Georgia, Idaho, Kansas, Kentucky, Michigan, Minnesota, New Hampshire, New York, North Carolina, Ohio, Oklahoma, Pennsylvania, South Carolina, Tennesee, Texas, Utah, Washington. John Norman is securities licensed in the following states: Arizona, California, Colorado, Florida, Georgia, Illinois, Kansas, Kentucky, Michigan, Minnesota, Nevada, New Hampshire, North Carolina, Oklahoma, Pennsylvania, Texas, Utah, Washington and West Virginia. Not an offer or solicitation in any state where not properly licensed and/or registered.

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This award was issued on 07/01/2023 by Five Star Professional (FSP) for the time period 10/10/2022 through 05/05/2023. Fee paid for use of marketing materials. Self-completed questionnaire was used for rating. This rating is not related to the quality of the investment advice and based solely on the disclosed criteria. 4,274 Dallas-area wealth managers were considered for the award; 336 (8% of candidates) were named 2023 Five Star Wealth Managers. The following prior year statistics use this format: YEAR: # Considered, # Winners, % of candidates, Issued Date, Research Period. 2022: 4,039, 330, 8%, 7/1/22, 9/20/21 - 4/8/22; 2021: 4,007, 323, 8%, 7/1/21, 9/21/20 - 4/30/21; 2020: 4,374, 335, 8%, 7/1/20, 10/7/19 - 4/24/20; 2019: 3,899, 393, 10%, 7/1/19, 10/22/18 - 5/3/19; 2018: 3,851, 338, 9%, 7/1/18, 10/24/17 - 5/21/18; 2017: 2,730, 382, 14%, 7/1/17, 9/26/16 - 4/28/17; 2016: 2,471, 678, 27%, 6/1/16, 11/30/15 - 5/18/16; 2015: 2,862, 684, 24%, 7/1/15, 11/30/14 - 5/18/15; 2014: 5,080, 621, 12%, 7/1/14, 11/30/13 - 5/18/14; 2013: 3,834, 698, 18%, 7/1/13, 11/30/12 - 5/18/13; 2012: 2,688, 654, 24%, 7/1/12, 11/30/11 - 5/18/12.

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Registered Representative of, and Securities and Investment Advisory Services offered through Hornor, Townsend & Kent, LLC (HTK), a Registered Investment Advisor, Member FINRA/SIPC. 600 Dresher Road, Horsham, PA 19044 phone: 800-873-7637 Penn Mutual Wealth Strategies is unaffiliated with HTK. HTK is a wholly owned subsidiary of The Penn Mutual Life Insurance Company. 5607684RG_Apr25

Wealth managers do not pay a fee to be considered or placed on the final list of Five Star Wealth Managers. The award is based on 10 objective criteria. Eligibility criteria-required: 1. Credentialed as a registered investment adviser (RIA) or a registered investment adviser representative; 2. Actively licensed as a RIA or as a principal of a registered investment adviser firm for a minimum of 5 years; 3. Favorable regulatory and complaint history review (As defined by FSP, the wealth manager has not; A. Been subject to a regulatory action that resulted in a license being suspended or revoked, or payment of a fine; B. Had more than a total of three settled or pending complaints filed against them and/or a total of five settled, pending, dismissed or denied complaints with any regulatory authority or FSP's consumer complaint process. Unfavorable feedback may have been discovered through a check of complaints registered with a regulatory authority or complaints registered through FSP's consumer complaint process; feedback may not be representative of any one client's experience; C. Individually contributed to a financial settlement of a customer complaint; D. Filed for personal bankruptcy within the past 11 years; E. Been terminated from a financial services firm within the past 11 years; F. Been convicted of a felony); 4. Fulfilled their firm review based on internal standards; 5. Accepting new clients. Evaluation criteria-considered: 6. One-year client retention rate; 7. Five-year client retention rate; 8. Non-institutional discretionary and/or non-discretionary client assets administered; 9. Number of client households served; 10. Education and professional designations. FSP does not evaluate quality of services provided to clients. The award is not indicative of the wealth manager's future performance . Wealth Managers may or may not use discretion in their practice and therefore may not manage their clients' assets. The inclusion of a wealth manager on the Five Star Wealth Manager list should not be construed as an endorsement of the wealth manager by FSP or this publication. Working with a Five Star Wealth Manager or any wealth manager is no guarantee as to future investment success, nor is there any guarantee that the selected wealth managers will be awarded this accomplishment by FSP in the future. Visit www.fivestarprofessional.com.