Timothy S. Norton
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.
Timothy Sullivan Norton was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 1983. Timothy had worked at 10 firms and has passed the Series 63, Series 7, Series 55, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 16, 2009 - October 13, 2009
NEWEDGE USA, LLC
February 15, 2002 - December 18, 2002
HOTOVEC, POMERANZ & CO., LLC
May 11, 2001 - October 3, 2001
PROTRADER SECURITIES L.P.
May 24, 1999 - November 19, 1999
NATIONAL BANK OF CANADA FINANCIAL INC.
February 4, 1998 - April 9, 1999
CANTOR FITZGERALD & CO.
October 1, 1997 - January 5, 1998
BANCAMERICA SECURITIES, INC.
May 17, 1996 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
November 7, 1991 - February 26, 1996
FINANCIAL SQUARE PARTNERS
August 12, 1991 - October 31, 1991
DEUTSCHE IXE, LLC
August 24, 1983 - July 10, 1991
LEHMAN BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 7/22/1999
Limited Representative-Equity Trader ExamCurrent Firm
NEWEDGE USA, LLC
CRD#: 36118 / SEC#: , 8-47023
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE GROUP | 100% OWNER OF NEWEDGE USA, LLC - CLASS A AND CLASS C MEMBER | |
| BABULE, ANTOINE JULIEN | CEO | 5778863 |
| BOND, ROBERT | HEAD OF FFOE & FI NEW YORK | 4121948 |
| COHEN, ADAM MICHAEL | HEAD OF US INSTITUTIONAL SALES PCS | 2560856 |
| CULLEN, EDWARD PATRICK | CHIEF FINANCIAL OFFICER AMERICAS/FINOP | 1551615 |
| DAVY, STEPHEN P | HEAD OF IT | 5644503 |
| EICKBUSH, GREGORY FRANCIS | HEAD OF OPERATIONS, AMERCIAS | 2533204 |
| GAUGHAN, SUSAN KATHLEEN | REGISTERED OPTIONS PRINCIPAL AND BRANCH MANAGER CHICAGO | 2530985 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| LOPRESTI, JOHN | HEAD OF SECURITIES OPERATIONS AMERICAS | 1999981 |
| MURPHY, ANGELIQUE REGINA | GLOBAL CHIEF OPERATING OFFICER ACTING AMERICAS HEAD OF FFOE & FI | 2355417 |
| PIETANZA, ELIZABETH CATHERINE | BRANCH MANAGER, NEW YORK | 2192911 |
| RICHTER, DAVID JAMES | HEAD OF US HIGH FREQUENCY SALES PCS | 1853383 |
| SARGENT, JEFFREY JOSEPH | HEAD OF SECURITIES COMPLIANCE AMERICAS | 2648637 |
Disclosures
| Regulatory Event | 60 |
| Arbitration | 1 |
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.
