Norton Morgenthal
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.
Norton Morgenthal, who also goes by Norton Morganthal, was a registered financial professional .
Norton is a previously registered financial professional and started their career in finance in 1965. Norton had worked at 6 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 1994 - August 1, 2002
PRIME CAPITAL SERVICES, INC.
October 30, 1990 - April 11, 1992
FORESTERS EQUITY SERVICES, INC.
May 10, 1989 - February 7, 1990
REICH & CO., INC.
February 15, 1989 - May 10, 1989
AMERICAN CAPITAL CORPORATION
April 5, 1988 - February 27, 1989
CORNWALL SECURITIES, INC.
July 6, 1965 - November 16, 1987
ADVANTAGE CAPITAL CORPORATION
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
Series 1
Date: 7/16/1957
Registered Representative ExaminationCurrent Firm
PRIME CAPITAL SERVICES, INC.
CRD#: 18334 / SEC#: , 8-36492
Contact information
Documents
Disclosures
| Regulatory Event | 10 |
| Arbitration | 6 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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