Joseph W. Norton
Professional summary
Joseph William Norton III, who also goes by Joseph William Norton III, is a registered financial professional currently at AMERICAN CENTURY INVESTMENT SERVICES INC. located in New York, New York.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph William Norton III's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 6, 2024 - Present
AMERICAN CENTURY INVESTMENT SERVICES INC.
Office #1: 330 Madison, New York, NY 10017July 19, 2022 - January 23, 2024
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
September 6, 2013 - May 31, 2022
VIRTUS INVESTMENT ADVISERS, LLC
August 20, 2013 - May 31, 2022
VP DISTRIBUTORS LLC
April 3, 2012 - August 16, 2013
DWS DISTRIBUTORS, INC.
February 15, 2011 - December 31, 2011
BRITEHORN SECURITIES
April 20, 2010 - September 17, 2010
SANCTUARY SECURITIES LLC
July 24, 2003 - August 29, 2008
GOLDMAN SACHS ASSET MANAGEMENT, L.P.
October 4, 2002 - August 1, 2008
GOLDMAN SACHS & CO. LLC
January 20, 2000 - August 1, 2008
GOLDMAN SACHS & CO. LLC
July 6, 1995 - February 2, 2000
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
April 6, 1993 - June 26, 1995
VOYAGEUR INVESTMENTS, 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
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Exams
FINRA
Current Firm
AMERICAN CENTURY INVESTMENT SERVICES INC.
CRD#: 17437 / SEC#: , 8-35220
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN CENTURY COMPANIES, INC. | PARENT COMPANY | |
| LUCHINSKY, RICHARD TODD | SVP, PRESIDENT | 2065489 |
| PAK, JOHN DONGJIN | CLO | 3226458 |
| REDLINE, CHERYL LOUISE | TREASURER, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 5371811 |
| SCHAPPERT, BRIAN JOSEPH | SVP, DIRECTOR | 5362490 |
| SHELTON, AMY DIANE | CCO | 2556023 |
| SMITH, RICHARD ANDREW | SVP, DIRECTOR | 6109979 |
| TURNER, MICHAEL RYAN | DIRECTOR | 5469914 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
