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Catherine R Norcott

Catherine R. Norcott

Some features on this profile are disabled
CRD#: 2246349
Catherine R Norcott

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.

Catherine R Norcott, CFP®, who also goes by Catherine Norcott Thornton, was a registered financial professional .

Catherine is a previously registered financial professional and started their career in finance in 1992. Catherine had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Catherine Norcott Thornton

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
CFP®

Certified Financial Planner

Start date: 1998

Experience

Past

May 12, 2014 - March 12, 2015

U.S. FINANCIAL ADVISORS

RIA
CRD#: 108763
BRAINTREE, MA
Past

April 14, 2014 - May 8, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
BRAINTREE, MA
Past

September 15, 2000 - February 7, 2012

STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC

BD
CRD#: 30107
BOSTON, MA
Past

November 1, 1994 - November 19, 1999

BANKBOSTON INVESTOR SERVICES, INC.

BD
CRD#: 36369
BOSTON, MA
Past

June 22, 1994 - November 8, 1994

SEI INVESTMENTS DISTRIBUTION CO.

BD
CRD#: 10690
OAKS, PA
Past

August 18, 1992 - May 13, 1994

FISCO EQUITY, INC.

BD
CRD#: 24067
LINCOLN, RI

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".
UF
U.S. FINANCIAL ADVISORS
EQUITY PLANNING, INC. | US FINANCIAL ADVISORS, LLC | U.S. WEALTH MANAGEMENT ROPE TEAM | U.S. WEALTH MANAGEMENT QUIRK | U.S. WEALTH MANAGEMENT OMAN | U.S. WEALTH MANAGEMENT NEWPORT | U.S. WEALTH MANAGEMENT NEW HAVEN | U.S. WEALTH MANAGEMENT HOWE | U.S. WEALTH MANAGEMENT FARMINGTON VALLEY | U.S. WEALTH MANAGEMENT CRAWFORD | U.S. WEALTH MANAGEMENT CLARKE | U.S. WEALTH MANAGEMENT | U.S. WEALTH ADVISORS | U.S. FINANCIAL ADVISORS, LLC | U.S. FINANCIAL ADVISORS | PWR FINANCIAL HOLDINGS LLC | NAPIER FINANCIAL | HAAS FINANCIAL GROUP

CRD#: 108763 / SEC#: 801-55953

RIA
Registered Investment Advisory firm - (10/9/1998 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/24/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/8/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/9/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/17/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/5/1995
General Securities Principal Examination

Current Firm

UF
U.S. FINANCIAL ADVISORS
EQUITY PLANNING, INC. | US FINANCIAL ADVISORS, LLC | U.S. WEALTH MANAGEMENT ROPE TEAM | U.S. WEALTH MANAGEMENT QUIRK | U.S. WEALTH MANAGEMENT OMAN | U.S. WEALTH MANAGEMENT NEWPORT | U.S. WEALTH MANAGEMENT NEW HAVEN | U.S. WEALTH MANAGEMENT HOWE | U.S. WEALTH MANAGEMENT FARMINGTON VALLEY | U.S. WEALTH MANAGEMENT CRAWFORD | U.S. WEALTH MANAGEMENT CLARKE | U.S. WEALTH MANAGEMENT | U.S. WEALTH ADVISORS | U.S. FINANCIAL ADVISORS, LLC | U.S. FINANCIAL ADVISORS | PWR FINANCIAL HOLDINGS LLC | NAPIER FINANCIAL | HAAS FINANCIAL GROUP

CRD#: 108763 / SEC#: 801-55953

RIA
Registered Investment Advisory firm - (10/9/1998 Approved)
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Contact information

Main Address
1200 Pennsylvania Ave Suite 202, Wilmington, DE 19806
Mailing Address
Phone number
(302) 483-7200
Established
Firm type
Fiscal year end
# of Employees
0

SEC notice filing (10 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

USFA ADV PART 2A (8/15/2025)
0

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
08/27/2025
Cover Page
Report

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

U.S. FINANCIAL ADVISORS

CRD#: 108763

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