Stephen E. Norton

SAYBROOK WEALTH GROUP

Old Saybrook, CT 06475

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CRD#: 2102121

Professional summary

Stephen Ernest Norton, AIF® is a registered financial advisor currently at SAYBROOK WEALTH GROUP, INC. located in Old Saybrook, Connecticut.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Stephen has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

Name of business: 288 Main Street Old Saybrook, CT Rental Real Estate: Proprietor/Owner Investment Related Start Date 12/31/19 Hours per month devoted to business: 5 Hours per month devoted to business during trading hours: 0 Description of Duties: Real Estate Holding company, set up as an LLC. I am sole owner. Closing on building 1/14/20. The building will have 3 tenants (my S-Corp will be one of the tenants). Name of Business : Ableplanning.com Address: 288 Main St,Old Saybrook, CT Nature of the Business: Support Company/DBA (Owner) Position/Title: Support Company/DBA (Owner) Investment Related:Yes Start Date: 08/31/2021 Hours per month devoted to this business: 20 Hours per month devoted to this business during trading hours: 10 Description of duties: Owner of an online website to provide special needs planning services to families and individuals. See link above.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Ernest Norton's CRS (Customer Relationship Summary).

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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

January 4, 2022 - Present

SAYBROOK WEALTH GROUP, INC.

Office #1: 288 Main Street, Old Saybrook, CT 06475

RIA

CRD#: 317867

Old Saybrook, CT

Past

January 2, 2009 - December 31, 2021

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Old Saybrook, CT

Past

December 17, 2007 - January 2, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

Old Saybrook, CT

Past

December 7, 2007 - December 31, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Old Saybrook, CT

Past

October 4, 2000 - December 17, 2007

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

NEW HAVEN, CT

Past

May 19, 2000 - December 17, 2007

UBS FINANCIAL SERVICES INC.

CRD#: 8174

NEW HAVEN, CT

Past

July 19, 1996 - May 23, 2000

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

September 29, 1994 - June 21, 1996

ESSEX NATIONAL SECURITIES, LLC

CRD#: 25454

NAPA, CA

Past

November 13, 1990 - September 10, 1993

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

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".

SAYBROOK WEALTH GROUP, INC.

CRD#: 317867 / SEC#: 801-122964

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Connecticut
(1/4/2022)

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

IAR

Series 66

Date: 8/17/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 3/18/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/17/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/3/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/12/1990

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/17/2024

General Securities Principal Examination

Current Firm

SAYBROOK WEALTH GROUP, INC.

CRD#: 317867 / SEC#: 801-122964

RIA

Registered Investment Advisory firm - (1/3/2022 Approved)

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Contact information

Main Address

288 Main Street, Old Saybrook, CT 06475

Mailing Address

Phone number

(860) 388-2200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR SAYBROOK WEALTH GROUP, INC. (3/21/2025)

Regulatory assets under management

Total Number of Accounts	932
AUM (Assets Under Management)	$ 241,645,801

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Stephen E. Norton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Ernest Norton's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

EDWARD JONES

ESSEX NATIONAL SECURITIES, LLC

VERAVEST INVESTMENTS, INC.

Primary Firm SEC Registration

SAYBROOK WEALTH GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 8/17/2000

Series 63

Date: 3/18/1991

Series 7TO

Date: 3/17/2024

SIE

Date: 10/1/2018

Series 7

Date: 1/3/1995

Series 6

Date: 11/12/1990

Series 24

Date: 3/17/2024

Current Firm

SAYBROOK WEALTH GROUP, INC.

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAYBROOK WEALTH GROUP, INC.

TRUST BUT VERIFY

Contact information

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