William L. Norton
Professional summary
William Lee Norton, who also goes by Lee Norton, is a registered financial professional currently at VANGUARD MARKETING CORPORATION located in Malvern, Pennsylvania.
William is registered as a RR (Registered Representative) and started their career in finance in 1989. William has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view William Lee Norton's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 10, 2010 - Present
VANGUARD MARKETING CORPORATION
Office #1: 100 Vanguard Blvd, Malvern, PA 19355February 19, 2002 - March 3, 2005
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
November 29, 2000 - January 17, 2002
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
April 1, 1999 - October 2, 2000
LIEBER & COMPANY
January 1, 1998 - February 3, 1999
FIRST UNION BROKERAGE SERVICES, INC.
April 20, 1994 - January 1, 1998
BOWLES HOLLOWELL CONNER & CO.
March 9, 1990 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 9, 1990 - April 25, 1994
PRUCO SECURITIES, LLC.
May 23, 1989 - September 26, 1989
F.N. WOLF & CO., 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
(9/29/2010)
Exams
FINRA
Current Firm
VANGUARD MARKETING CORPORATION
CRD#: 7452 / SEC#: , 8-21570
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE VANGUARD GROUP, INC. | PARENT COMPANY | |
| BENCHENER, MATTHEW JOHN | CHAIRMAN, PRESIDENT, DIRECTOR, CEO-DESIGNEE | 5569805 |
| BENDL, JOHN WESLEY | DIRECTOR, SENIOR VICE PRESIDENT | 6931980 |
| BISORDI, JOHN | DIRECTOR, VICE PRESIDENT, GENERAL COUNSEL | 7526828 |
| BOATENG, AMMA ACHEAMPOMAA | DIRECTOR, SENIOR VICE PRESIDENT | 4677078 |
| BRANCATO, MATTHEW CLARK | DIRECTOR, VICE PRESIDENT | 6220380 |
| JAMES, JOHN MARK | DIRECTOR, SENIOR VICE PRESIDENT | 5594356 |
| PANTALONE, SALVATORE L JR | PRINCIPAL FINANCIAL OFFICER | 2887373 |
| PETTY, DAVID | VICE PRESIDENT | 5684895 |
| STEWART, MARC CHRISTOPHER | CHIEF COMPLIANCE OFFICER | 2688699 |
| TRETTER, MATTHEW ANTHONY | PRINCIPAL OPERATIONS OFFICER | 5956530 |
Disclosures
| Regulatory Event | 48 |
| Arbitration | 8 |
Red Flags
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