Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Norton is a financial advisor registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Richard is a financial advisor with over 30 years of experience in the industry. Richard's experience includes time at a variety of firms including Fleet Securities, Inc., Murphey, Marseilles, Smith & Nammack, Inc., and Kalb, Voorhis & Co.. Richard holds a Series 7 and Series 63 licenses. Richard is registered to offer investment advice in over 50 states.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
07/15/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NJ
02/24/2009 - 06/08/2009
DAVID LERNER ASSOCIATES, INC. (TEANECK NJ)
NY
07/12/1999 - 03/02/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
TX
05/30/1997 - 09/21/1999
FLEET SECURITIES, INC. (DALLAS TX)
NY
09/14/1995 - 05/21/1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC. (NEW YORK NY)
NY
03/08/1991 - 08/14/1995
KALB, VOORHIS & CO. (NEW YORK NY)
NA
08/23/1988 - 06/29/1990
SOUTH RICHMOND SECURITIES, INC.
IA
Issued 05/09/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/07/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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