Charles L. Norton

PENN DAVIS MCFARLAND

Dallas, TX 75204

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CRD#: 2780934

Professional summary

Charles Louis Norton is a registered financial advisor currently at PENN DAVIS MCFARLAND INC located in Dallas, Texas.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Charles has worked at 5 firms and has passed the Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Louis 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®

None

Experience

Current

November 17, 2015 - Present

PENN DAVIS MCFARLAND INC

Office #1: 2626 Cole Ave Ste 504, Dallas, TX 75204

RIA

CRD#: 110417

Dallas, TX

Past

October 3, 2005 - December 31, 2019

USA MUTUALS ADVISORS, INC.

RIA

CRD#: 131750

DALLAS, TX

Past

January 21, 2003 - July 25, 2011

GNI CAPITAL, LLC

RIA

CRD#: 114802

NEW YORK, NY

Past

July 19, 1999 - April 16, 2001

RUMSON CAPITAL, LLC

CRD#: 33848

MONTEBELLO, NY

Past

December 18, 1998 - July 21, 1999

ACUMENT SECURITIES, INC.

CRD#: 7661

SAN FRANCISCO, CA

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".

PENN DAVIS MCFARLAND INC

CRD#: 110417 / SEC#: 801-13038

RIA

Registered Investment Advisory firm - (5/12/1977 Approved)

Texas

Registered Investment Advisory firm - (4/4/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Texas
(11/17/2015)

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

Series 63

Date: 2/9/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/17/1998

General Securities Representative Examination

Current Firm

PENN DAVIS MCFARLAND INC

CRD#: 110417 / SEC#: 801-13038

RIA

Registered Investment Advisory firm - (5/12/1977 Approved)

Texas

Registered Investment Advisory firm - (4/4/2002 Terminated)

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Contact information

Main Address

2626 Cole Ave Ste 504, Dallas, TX 75204

Mailing Address

Phone number

(214) 871-2772

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PDM ADVISORY BROCHURE JANUARY 31, 2025 (4/16/2025)

Regulatory assets under management

Total Number of Accounts	555
AUM (Assets Under Management)	$ 1,261,852,927

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/05/2025	Cover Page	Report
02/11/2025	Cover Page	Report
01/29/2024	Cover Page	Report
02/20/2023	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.

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Charles L. Norton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Louis Norton's CRS (Customer Relationship Summary).

Certified licenses

Experience

PENN DAVIS MCFARLAND INC

USA MUTUALS ADVISORS, INC.

GNI CAPITAL, LLC

RUMSON CAPITAL, LLC

ACUMENT SECURITIES, INC.

Primary Firm SEC Registration

PENN DAVIS MCFARLAND INC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/9/1999

Series 7

Date: 12/17/1998

Current Firm

PENN DAVIS MCFARLAND INC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

PENN DAVIS MCFARLAND INC

TRUST BUT VERIFY

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