Dale F. Norton

ASSET & RETIREMENT MANAGEMENT

RIGBY, ID

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CRD#: 1069797

Professional summary

Dale Franklin Norton JR, who also goes by Dale Franklin Jr Norton, Frank Norton, is a registered financial advisor currently at ASSET & RETIREMENT MANAGEMENT located in Rigby, Idaho.

Dale is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1982. Dale has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dale Franklin Jr Norton | Frank Norton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

(1) 100% OWNER D. FRANK NORTON CPA - PROVIDING ACCOUNTING, TAX PREPARATION, TAX REVIEWS AND PLANNING SINCE 01/1983. NON-INVESTMENT RELATED. APPROXIMATELY 30% OF TIME SPENT, BUT HOURS FLUCTUATE. TYPICALLY SPEND ABOUT 120 HOURS PER MONTH DURING PEAK SEASON (FROM FEBRUARY to MID-APRIL), AND ABOUT 20 HOURS PER MONTH DURING OTHER TIMES OF THE YEAR. APPROXIMATELY HALF OF ALL TIME SPENT ON THESE ACTIVITIES OCCUR DURING TRADING HOURS. (2) 100% OWNER OF A SUMMER RENTAL HOME PROVIDING OCCASIONAL RENTAL INCOME SINCE 2015. NON-INVESTMENT RELATED. 5% TIME SPENT, OR ROUGHLY 8 HOURS PER MONTH (NOT DURING TRADING HOURS). BUSINESS CONDUCTED IN ISLAND PARK, ID.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Franklin Norton JR's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 8, 2017 - Present

ASSET & RETIREMENT MANAGEMENT

RIA

CRD#: 136569

RIGBY, ID

Past

September 7, 2012 - December 14, 2016

INDEPENDENT FINANCIAL GROUP, LLC

RIA

CRD#: 7717

NEWHALL, CA

Past

March 11, 2011 - December 14, 2016

INDEPENDENT FINANCIAL GROUP, LLC

CRD#: 7717

NEWHALL, CA

Past

December 19, 2007 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

NEWHALL, CA

Past

March 31, 1999 - December 31, 2007

MUTUAL SERVICE CORPORATION

CRD#: 4806

SANTA CLARITA, CA

Past

March 30, 1984 - March 31, 1999

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

December 2, 1982 - April 3, 1984

BOARDWALK CAPITAL CORPORATION

CRD#: 10279

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(9/8/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/27/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1983

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/1/1982

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/28/1984

General Securities Principal Examination

Current Firm

ASSET & RETIREMENT MANAGEMENT

ASSET & RETIREMENT MANAGEMENT | NORTON, DALE FRANKLIN JR

CRD#: 136569 / SEC#:

California

Registered Investment Advisory firm - (4/24/2002 Approved)

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Contact information

Main Address

Rigby, ID

Mailing Address

Phone number

(661) 575-5875

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	51
AUM (Assets Under Management)	$ 6,509,600

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Dale F. Norton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dale Franklin Norton JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

INDEPENDENT FINANCIAL GROUP, LLC

INDEPENDENT FINANCIAL GROUP, LLC

QA3 FINANCIAL CORP.

MUTUAL SERVICE CORPORATION

TITAN/VALUE EQUITIES GROUP, INC.

BOARDWALK CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/1983

SIE

Date: 12/14/2016

Series 7

Date: 7/16/1983

Series 22

Date: 12/1/1982

Series 24

Date: 12/28/1984

Current Firm

ASSET & RETIREMENT MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ASSET & RETIREMENT MANAGEMENT

TRUST BUT VERIFY

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