Joseph P. 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.
Joseph Patrick Norton III, who also goes by Joseph P Norton, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1996. Joseph had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2001 - September 30, 2002
DATEK ONLINE FINANCIAL SERVICES LLC
December 11, 2000 - June 20, 2001
ICLEARING LLC
January 22, 1999 - November 23, 1999
ICAPITAL MARKETS LLC
November 5, 1996 - October 26, 1998
TD AMERITRADE, 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
Exams
Current Firm
DATEK ONLINE FINANCIAL SERVICES LLC
CRD#: 36807 / SEC#: , 8-47459
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DATEK ONLINE HOLDINGS CORP. | PARENT CORP. | |
| DUHOVIC, JERRY VICTOR | SVP, CCO | 2123754 |
| ENGEL, BRYCE BRADLEY | VP OPERATIONS | 2748956 |
| GERBER, WILLIAM | TREASURER | 1769810 |
| HANLEY, CATHERINE ANN | CROP | 229846 |
| HEAD, MICHAEL JAMES | SVP, SECRETARY | 4022730 |
| LANGWITH, JOHN EDMUND III | FINOP, CFO | 2709446 |
| MACDONALD, JOHN RANALD | MANAGER | 2540475 |
| MOGLIA, JOSEPH HUGH | MANAGER | 1302369 |
| RICKETTS, JOHN PETER | MANAGER, PRESIDENT | 2446207 |
| SMITH, GREGORY JAY | SROP | 1657211 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 5 |
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.
