Philip J. Norton
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.
Philip Jeffrey Norton, who also goes by Jeff Norton III, Philip Jeffrey Norton III, Philip Jeffrey Norton, Philip J Norton Iii, Philip J Norton, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1992. Philip had worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 2020 - January 10, 2022
CHARLES SCHWAB INVESTMENT ADVISORY, INC
November 5, 2004 - January 8, 2024
CHARLES SCHWAB & CO., INC.
January 9, 1995 - January 8, 2024
CHARLES SCHWAB & CO., INC.
March 23, 1992 - November 9, 1994
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
CHARLES SCHWAB INVESTMENT ADVISORY, INC
CRD#: 151739 / SEC#: 801-70737
Contact information
Regulatory assets under management
| Total Number of Accounts | 495,347 |
| AUM (Assets Under Management) | $ 66,080,242,938 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2021 |
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.
