Arthur D. Norton
Professional summary
Arthur Duggan Norton, who also goes by Art Norton, is a registered financial advisor currently at ARAGLAN CAPITAL MANAGEMENT , LLC located in Stamford, Connecticut.
Arthur is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Arthur has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Arthur Duggan Norton's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 14, 2010 - Present
ARAGLAN CAPITAL MANAGEMENT , LLC
Office #1: One Landmark Square 11 Floor, Stamford, CT 06901April 25, 2016 - September 20, 2016
PRIVATE CLIENT SERVICES, LLC
August 20, 2009 - December 31, 2015
GROVE POINT INVESTMENTS, LLC
December 9, 2008 - August 20, 2009
FIRST ALLIED SECURITIES, INC.
December 9, 2008 - August 20, 2009
FIRST ALLIED SECURITIES, INC.
June 5, 1998 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
November 12, 1996 - December 9, 2008
FIRST MONTAUK SECURITIES CORP.
January 12, 1994 - December 6, 1996
KEOGLER, MORGAN & COMPANY, INC.
February 1, 1991 - January 26, 1994
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
September 27, 1990 - February 6, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 4, 1988 - August 2, 1990
ROBERT THOMAS SECURITIES, INC
January 31, 1985 - January 14, 1988
FIRST AFFILIATED SECURITIES, INC.
October 26, 1984 - February 11, 1985
TOWER SQUARE SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(1/14/2010)
Exams
Series 8
Date: 2/28/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
ARAGLAN CAPITAL MANAGEMENT , LLC
CRD#: 152150 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 64 |
| AUM (Assets Under Management) | $ 24,000,000 |
Red Flags
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