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Marybeth Norton

CRD# 1307284·Registered 1984 - 1987
Previously Registered: Being a previously registered professional could mean that Marybeth 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.

Professional Summary

Marybeth Norton, who also goes by Marybeth Gingo Norton, was a registered financial advisor. Marybeth was a previously registered financial professional and started their career in finance 1984 - 1987. Marybeth had worked at 6 firms and has passed the Series 63, Series 7, Series 24 and Series 27 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Marybeth Gingo Norton

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

42 years in the financial services industry

Current & Past Employments

WAKEFIELD FINANCIAL CORPORATION·CRD# 11064
BD
May 19, 1987 - August 28, 1987
BLINDER, ROBINSON & CO., INC.·CRD# 5096
BD
December 18, 1985 - February 20, 1986
GENERAL AMERICAN SECURITIES, INC.·CRD# 10668
BD
October 7, 1985 - November 18, 1985
R.H. STEWART & CO., INC.·CRD# 13673
BD
June 21, 1985 - September 30, 1985
THE STUART-JAMES COMPANY, INCORPORATED·CRD# 11691
BD
April 30, 1985 - June 3, 1985
MICHELIN AND COMPANY, INC.·CRD# 14447
BD
October 26, 1984 - December 11, 1984

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Current Firm

WF
WAKEFIELD FINANCIAL CORPORATION

WAKEFIELD FINANCIAL CORPORATION

CRD#: 11064 / SEC#: 8-28038
BD
Expelled by FINRA on 03/09/1990

Contact Information

Established

Virginia since 02/26/1979

Firm Type

Corporation

Fiscal Year End

December

Documents

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1984About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Oct 1984About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Sep 1986About the Series 24 exam

Series 27 — Financial and Operations Principal Examination

Passed Nov 1985About the Series 27 exam

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CRS (Client Relationship Summary)

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

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