Ralph G. Norton

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CRD#: 1073111

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ralph Gage Norton III, who also goes by Chip Norton, Ralph Gage III Norton, Ralph Norton, was a registered financial professional .

Ralph is a previously registered financial professional and started their career in finance in 1999. Ralph had worked at 7 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chip Norton | Ralph Gage Iii Norton | Ralph 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 1, 2020 - March 6, 2023

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

RIA

CRD#: 106753

SAN FRANCISCO, CA

Past

January 12, 2009 - July 2, 2020

WASMER SCHROEDER

RIA

CRD#: 105323

WEST CHESTER, PA

Past

August 29, 2006 - January 2, 2009

FORTIGENT SECURITIES COMPANY, LLC.

CRD#: 46022

ROCKVILLE, MD

Past

June 12, 2006 - January 2, 2009

FORTIGENT, LLC

RIA

CRD#: 138164

ROCKVILLE, MD

Past

November 3, 2005 - June 12, 2006

LYDIAN WEALTH MANAGEMENT COMPANY, LLC

RIA

CRD#: 107659

ROCKVILLE, MD

Past

March 16, 2004 - June 16, 2006

FORTIGENT SECURITIES COMPANY, LLC.

CRD#: 46022

ROCKVILLE, MD

Past

November 13, 2001 - January 2, 2003

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

May 3, 1999 - January 2, 2001

ING FUNDS DISTRIBUTOR, INC.

CRD#: 36461

WILMINGTON, DE

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC | SCHWAB ASSET MANAGEMENT

CRD#: 106753 / SEC#: 801-35905

RIA

Registered Investment Advisory firm - (1/25/1990 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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

IAR

Series 66

Date: 7/8/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 4/24/1997

General Securities Representative Examination

Current Firm

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC | SCHWAB ASSET MANAGEMENT

CRD#: 106753 / SEC#: 801-35905

RIA

Registered Investment Advisory firm - (1/25/1990 Approved)

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Contact information

Main Address

211 Main Street, San Francisco, CA 94105

Mailing Address

Phone number

(415) 667-9200

Established

Firm type

Fiscal year end

# of Employees

877

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CSIM DISCLOSURE BROCHURE (9/23/2025)

Regulatory assets under management

Total Number of Accounts	843,555
AUM (Assets Under Management)	$ 1,436,974,514,828

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/24/2025	Cover Page	Report
01/19/2024	Cover Page	Report
04/17/2023	Cover Page	Report

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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Firm Stability Insights

Ralph G. Norton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WASMER SCHROEDER

FORTIGENT SECURITIES COMPANY, LLC.

FORTIGENT, LLC

LYDIAN WEALTH MANAGEMENT COMPANY, LLC

FORTIGENT SECURITIES COMPANY, LLC.

VOYA INVESTMENTS DISTRIBUTOR, LLC

ING FUNDS DISTRIBUTOR, INC.

Primary Firm SEC Registration

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/8/2004

Series 7

Date: 4/24/1997

Current Firm

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CHARLES SCHWAB INVESTMENT MANAGEMENT, INC

TRUST BUT VERIFY

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