Arthur D. Norton

ARAGLAN CAPITAL MANAGEMENT

STAMFORD, CT 06901

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CRD#: 1289263

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

Are you a "fiduciary"?

Yes

Aliases

Art 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.

ARAGLAN CAPITAL MANAGEMENT, LLC POSITION: MANAGING DIRECTOR NATURE: FINANCIAL SERVICES OR ADVISOR ACTIVITIES NOT THROUGH H. BECK, INC. INVESTMENT RELATED: YES NUMBER OF HOURS: 100 INVESTMENT RELATED HOURS: 60 START DATE: 01/10/2009 ADDRESS: ONE LANDMARK SQUARE,, SUITE 801, STAMFORD CT 06901-2601 DESCRIPTION: I RUN AN EQUITY LARGE CAPITALIZATION PORTFOLIO BUSINESS AND FINANCIAL SERVICES, INCORPOrATED ONE LANDMARK SQUARE, SUITE 801 STAMFORD, CONNECTICUT 06901-26012033232691 POSITION: PRESIDENT NATURE: INVESTMENT-RELATED OBA NOT THROUGH H. BECK, INC. INVESTMENT RELATED: YES NUMBER OF HOURS: 10 INVESTMENT RELATED HOURS: 0 START DATE: 10/01/1983 ADDRESS: ONE LANDMARK SQUARE, SUITE 801, STAMFORD CT 06901 DESCRIPTION: EXECUTIVE MANAGEMENT TOWN OF GREENWICH, CONNECTICUT..ELECTED MEMBER BOARD OF ESTIMATE AND TAXATION, REPUBLICAN, (FINANCE BOARD). TERM OF OFFICE JANUARY 1, 2014- DECEMBER 31, 2015 CURRENT CHAIR (2)......AUDIT COMMITTEE; INVESTMENT ADVISORY COMMITTEE VICE CHAIR PRO BONO POSITION POSITION: VICE CHAIR NATURE: OTHER OBA INVESTMENT RELATED: YES NUMBER OF HOURS: 80 INVESTMENT RELATED HOURS: 40 START DATE: 01/01/2014 ADDRESS: 101 FIELD POINT ROAD, GREENWICH CT 06830 DESCRIPTION: SEE ABOVE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Duggan Norton'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

January 14, 2010 - Present

ARAGLAN CAPITAL MANAGEMENT , LLC

Office #1: One Landmark Square 11 Floor, Stamford, CT 06901

RIA

CRD#: 152150

STAMFORD, CT

Past

April 25, 2016 - September 20, 2016

PRIVATE CLIENT SERVICES, LLC

CRD#: 120222

Stamford, CT

Past

August 20, 2009 - December 31, 2015

GROVE POINT INVESTMENTS, LLC

CRD#: 1763

STAMFORD, CT

Past

December 9, 2008 - August 20, 2009

FIRST ALLIED SECURITIES, INC.

RIA

CRD#: 32444

STAMFORD, CT

Past

December 9, 2008 - August 20, 2009

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

STAMFORD, CT

Past

June 5, 1998 - December 9, 2008

FIRST MONTAUK SECURITIES CORP.

RIA

CRD#: 13755

STAMFORD, CT

Past

November 12, 1996 - December 9, 2008

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

STAMFORD, CT

Past

January 12, 1994 - December 6, 1996

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

February 1, 1991 - January 26, 1994

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

September 27, 1990 - February 6, 1991

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

January 4, 1988 - August 2, 1990

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

January 31, 1985 - January 14, 1988

FIRST AFFILIATED SECURITIES, INC.

CRD#: 6871

Past

October 26, 1984 - February 11, 1985

TOWER SQUARE SECURITIES, INC.

CRD#: 833

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

Connecticut
(1/14/2010)

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 65

Date: 12/15/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/17/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/20/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 2/28/1985

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

ARAGLAN CAPITAL MANAGEMENT , LLC

CRD#: 152150 / SEC#:

Connecticut

Registered Investment Advisory firm - (1/14/2010 Approved)

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Contact information

Main Address

One Landmark Square Suite 801, Stamford, CT 06901-2601

Mailing Address

Phone number

(203) 323-2691

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	64
AUM (Assets Under Management)	$ 24,000,000

Red Flags

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

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Arthur D. Norton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Duggan Norton's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRIVATE CLIENT SERVICES, LLC

GROVE POINT INVESTMENTS, LLC

FIRST ALLIED SECURITIES, INC.

FIRST ALLIED SECURITIES, INC.

FIRST MONTAUK SECURITIES CORP.

FIRST MONTAUK SECURITIES CORP.

KEOGLER, MORGAN & COMPANY, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ROBERT THOMAS SECURITIES, INC

FIRST AFFILIATED SECURITIES, INC.

TOWER SQUARE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/15/1995

Series 63

Date: 1/17/1985

SIE

Date: 9/20/2016

Series 7

Date: 10/20/1984

Series 8

Date: 2/28/1985

Current Firm

ARAGLAN CAPITAL MANAGEMENT , LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARAGLAN CAPITAL MANAGEMENT , LLC

TRUST BUT VERIFY

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