Charles R. Norton

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CRD#: 1313944

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.

Charles Robin, Maxwell Norton, who also goes by Charles Robin Maxwell Norton, Charlesrobin Maxwell Norton, Robin Maxwell Norton, Robin Norton, Charles Robin Norton, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 14 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 8 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Charles Robin Maxwell Norton | Charlesrobin Maxwell Norton | Robin Maxwell Norton | Robin Norton | Charles Robin 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

February 7, 2024 - December 18, 2024

AMERITY WEALTH MANAGEMENT, LLC

RIA

CRD#: 322265

Concord, MA

Past

February 7, 2023 - May 31, 2024

BEACON GLOBAL ADVISOR NETWORK, LLC

RIA

CRD#: 288833

Concord, MA

Past

July 31, 2017 - April 1, 2020

CAPITAL ANALYSTS

RIA

CRD#: 162200

Waltham, MA

Past

July 13, 2017 - April 1, 2020

LINCOLN INVESTMENT

CRD#: 519

WALTHAM, MA

Past

December 20, 2016 - May 15, 2017

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

NEEDHAM, MA

Past

November 22, 2016 - May 15, 2017

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEEDHAM, MA

Past

August 12, 2016 - August 31, 2016

MML INVESTORS SERVICES, LLC

CRD#: 10409

BOSTON, MA

Past

July 16, 2010 - January 4, 2011

WILLIAM O'NEIL + COMPANY

RIA

CRD#: 152620

BOSTON, MA

Past

October 4, 2001 - May 7, 2004

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

April 26, 2001 - October 4, 2001

FIRST FUND DISTRIBUTORS, INC.

CRD#: 27038

PHOENIX, AZ

Past

October 23, 1996 - July 27, 1999

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

January 1, 1996 - January 22, 1996

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

October 25, 1994 - January 1, 1996

JAMES CAPEL INCORPORATED

CRD#: 15390

Past

March 7, 1986 - October 19, 1990

S.G. WARBURG & CO. INC.

CRD#: 1483

NEW YORK, NY

Past

November 8, 1984 - April 9, 1986

ROBERT FLEMING INCORPORATED

CRD#: 1871

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".

AMERITY WEALTH MANAGEMENT, LLC

ALEXANDER PETER US LLC | STADLER RETIRE | AMERITY WEALTH MANAGEMENT, LLC | ALEXANDER PETER WEALTH MANAGEMENT US

CRD#: 322265 / SEC#: 801-127745

RIA

Registered Investment Advisory firm - (8/15/2023 Approved)

Florida

Registered Investment Advisory firm - (10/25/2023 Terminated)

Georgia

Registered Investment Advisory firm - (11/1/2023 Terminated)

North Carolina

Registered Investment Advisory firm - (10/26/2023 Terminated)

Tennessee

Registered Investment Advisory firm - (10/25/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Series 63

Date: 12/15/2016

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/15/2010

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/30/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/12/2016

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 8/23/1995

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

Principal/Supervisory Exam

Series 24

Date: 10/27/1994

General Securities Principal Examination

Current Firm

AMERITY WEALTH MANAGEMENT, LLC

ALEXANDER PETER US LLC | STADLER RETIRE | AMERITY WEALTH MANAGEMENT, LLC | ALEXANDER PETER WEALTH MANAGEMENT US

CRD#: 322265 / SEC#: 801-127745

RIA

Registered Investment Advisory firm - (8/15/2023 Approved)

Florida

Registered Investment Advisory firm - (10/25/2023 Terminated)

Georgia

Registered Investment Advisory firm - (11/1/2023 Terminated)

North Carolina

Registered Investment Advisory firm - (10/26/2023 Terminated)

Tennessee

Registered Investment Advisory firm - (10/25/2023 Terminated)

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Contact information

Main Address

4740 Cleveland Heights Boulevard, Suite 5, Lakeland, FL 33813

Mailing Address

Phone number

(863) 683-1750

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AMERITY WEALTH FORM ADV PART 2A (2/24/2025)

Regulatory assets under management

Total Number of Accounts	1,138
AUM (Assets Under Management)	$ 277,340,000

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

Charles R. Norton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BEACON GLOBAL ADVISOR NETWORK, LLC

CAPITAL ANALYSTS

LINCOLN INVESTMENT

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

MML INVESTORS SERVICES, LLC

WILLIAM O'NEIL + COMPANY

QUASAR DISTRIBUTORS, LLC

FIRST FUND DISTRIBUTORS, INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

HSBC SECURITIES (USA) INC.

JAMES CAPEL INCORPORATED

S.G. WARBURG & CO. INC.

ROBERT FLEMING INCORPORATED

Primary Firm SEC Registration

AMERITY WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/15/2016

Series 65

Date: 7/15/2010

Series 7TO

Date: 6/30/2022

SIE

Date: 10/1/2018

Series 7

Date: 8/12/2016

Series 8

Date: 8/23/1995

Series 24

Date: 10/27/1994

Current Firm

AMERITY WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

AMERITY WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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