Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Anne? Claim Your ProfileAnne Laurel Norton is a financial advisor in St. Petersburg, Florida. Anne has been working in the financial industry since January 1998. Anne is currently registered with Raymond James & Associates, Inc. in South Carolina. Previously Anne worked at MML Investors Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., Sterne, Agee & Leach, Inc. and Prudential Securities Incorporated. Anne holds Series 63, 65, 7, 9, 10, 23, 24, 52TO and SIE licenses. Anne is registered to provide financial advice in South Carolina.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
FL
06/26/2014 - Present
Raymond James & Associates, Inc. (ST. PETERSBURG FL)
SC
06/02/2009 - 06/18/2014
MML INVESTORS SERVICES, LLC (MOUNT PLEASANT SC)
SC
08/15/2006 - 05/19/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHARLESTON SC)
SC
10/07/1999 - 08/25/2006
UBS FINANCIAL SERVICES INC. (MT. PLEASANT SC)
AL
05/13/1998 - 10/26/1999
STERNE, AGEE & LEACH, INC. (BIRMINGHAM AL)
NY
12/16/1997 - 04/24/1998
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 11/17/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/06/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 09/28/2009
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 07/07/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 12/02/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/01/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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