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JN

Joseph W. Norton

FIDELITY DISTRIBUTORS COMPANY
SMITHFIELD, RI 02917
CRD#: 2069417
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JN
Joseph W. NortonFIDELITY DISTRIBUTORS COMPANY

Professional summary

Joseph W. Norton, who also goes by Joseph William Norton III, Joseph William Norton, is a registered financial professional currently at FIDELITY DISTRIBUTORS COMPANY LLC located in Smithfield, Rhode Island.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph William Norton Iii | Joseph William 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) - BD

Click below to view Joseph W. 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

June 18, 2026 - Present

FIDELITY DISTRIBUTORS COMPANY LLC

Office #1: 900 Salem Street, Smithfield, RI 02917
BD
CRD#: 17507
SMITHFIELD, RI
Past

March 6, 2024 - May 1, 2026

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO
Past

July 19, 2022 - January 23, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA
Past

September 6, 2013 - May 31, 2022

VIRTUS INVESTMENT ADVISERS, LLC

RIA
CRD#: 106982
SAN FRANCISCO, CA
Past

August 20, 2013 - May 31, 2022

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

April 3, 2012 - August 16, 2013

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

February 15, 2011 - December 31, 2011

BRITEHORN SECURITIES

BD
CRD#: 36402
SAN FRANCISCO, CA
Past

April 20, 2010 - September 17, 2010

SANCTUARY SECURITIES LLC

BD
CRD#: 144091
SAN FRANCISCO, CA
Past

July 24, 2003 - August 29, 2008

GOLDMAN SACHS ASSET MANAGEMENT, L.P.

RIA
CRD#: 107738
NEW YORK, NY
Past

October 4, 2002 - August 1, 2008

GOLDMAN SACHS & CO. LLC

RIA
CRD#: 361
CHICAGO, IL
Past

January 20, 2000 - August 1, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
CHICAGO, IL
Past

July 6, 1995 - February 2, 2000

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

April 6, 1993 - June 26, 1995

VOYAGEUR INVESTMENTS, INC.

BD
CRD#: 22544

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(6/18/2026)
RR
Alaska
(6/18/2026)
RR
Arizona
(6/18/2026)
RR
Arkansas
(6/18/2026)
RR
California
(6/18/2026)
RR
Colorado
(6/18/2026)
RR
Connecticut
(6/18/2026)
RR
Delaware
(6/18/2026)
RR
District of Columbia
(6/18/2026)
RR
Florida
(6/18/2026)
RR
Georgia
(6/18/2026)
RR
Hawaii
(6/18/2026)
RR
Idaho
(6/18/2026)
RR
Illinois
(6/18/2026)
RR
Indiana
(6/18/2026)
RR
Iowa
(6/18/2026)
RR
Kansas
(6/18/2026)
RR
Kentucky
(6/18/2026)
RR
Louisiana
(6/18/2026)
RR
Maine
(6/18/2026)
RR
Maryland
(6/18/2026)
RR
Massachusetts
(6/18/2026)
RR
Michigan
(6/18/2026)
RR
Minnesota
(6/18/2026)
RR
Mississippi
(6/18/2026)
RR
Missouri
(6/18/2026)
RR
Montana
(6/18/2026)
RR
Nebraska
(6/18/2026)
RR
Nevada
(6/18/2026)
RR
New Hampshire
(6/18/2026)
RR
New Jersey
(6/22/2026)
RR
New Mexico
(6/18/2026)
RR
New York
(6/18/2026)
RR
North Carolina
(6/18/2026)
RR
North Dakota
(6/18/2026)
RR
Ohio
(6/22/2026)
RR
Oklahoma
(6/18/2026)
RR
Oregon
(6/18/2026)
RR
Pennsylvania
(6/18/2026)
RR
Puerto Rico
(6/18/2026)
RR
Rhode Island
(6/18/2026)
RR
South Carolina
(6/18/2026)
RR
South Dakota
(6/18/2026)
RR
Tennessee
(6/18/2026)
RR
Texas
(6/22/2026)
RR
Utah
(6/18/2026)
RR
Vermont
(6/18/2026)
RR
Virginia
(6/18/2026)
RR
Washington
(6/18/2026)
RR
West Virginia
(6/18/2026)
RR
Wisconsin
(6/18/2026)
RR
Wyoming
(6/18/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/9/2002
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/9/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/17/1996
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/23/1991
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FD
FIDELITY DISTRIBUTORS COMPANY LLC
FIDELITY DISTRIBUTORS COMPANY LLC | INSTITUTIONAL COMPANY, INC. | FIDELITY INVESTMENTS INSTITUTIONAL SERVICES COMPANY, INC. | FIDELITY INSTITUTIONAL RETIREMENT SERVICES COMPANY

CRD#: 17507 / SEC#: , 8-35097

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
900 Salem Street, Smithfield, RI 02917
Mailing Address
Two Destiny Way Mail Zone Wg3d, Westlake, TX 76262
Phone number
(800) 237-8132
Established
Delaware since 01/01/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

NamePositionCRD#
FIDELITY GLOBAL BROKERAGE GROUP, INC.STOCKHOLDER
ACKERMAN, CHARLES ALLANDIRECTOR2168517
ADAMS, ROBERTCOO1291582
GUSTAFSON, DALTONPRESIDENT/DIRECTOR2439305
HAGGERTY, MARK AEXECUTIVE VICE PRESIDENT/DIRECTOR4347837
KAVANAUGH, NATALIE ANNCHIEF LEGAL OFFICER
MCGINTY, JOHN JR.CHIEF COMPLIANCE OFFICER5560420
RHODES, NOAH BUTLERCHIEF FINANCIAL OFFICER6546392

Disclosures

Regulatory Event3
Arbitration17

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.

Company Information

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507Smithfield, RI 02917

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