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CN

Craig S. Norton

Some features on this profile are disabled
CRD#: 349405
CN

Professional summary

Craig Stanton Norton was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Craig is a previously registered financial professional and started their career in finance in 1973. Prior to being barred, Craig had worked at 14 firms, which includes WILSON-DAVIS & CO. INC., SCHNEIDER SECURITIES INC., GLOBAL CAPITAL SECURITIES CORPORATION, AMERICAN FRONTEER FINANCIAL CORPORATION, R.B. MARICH INC., MARSHALL DAVIS INC., NIELSON AND CLARK INC., RICHEY FRANKEL & COMPANY, PRESTIGE INVESTORS INC., WALFORD DEMARET & CO. INC., AMERICAN WESTERN SECURITIES INC., INSTITUTIONAL SECURITIES OF COLORADO INC., MOUNTAIN PACIFIC INVESTMENT CO..

Question & Answer

Are you a "fiduciary"?
No

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)

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®
None

Experience

Past

March 25, 2003 - February 4, 2022

WILSON-DAVIS & CO., INC.

BD
CRD#: 3777
CENTENNIAL, CO
Past

May 20, 1997 - September 30, 2002

SCHNEIDER SECURITIES, INC.

BD
CRD#: 16434
DENVER, CO
Past

November 3, 1992 - May 7, 1997

GLOBAL CAPITAL SECURITIES CORPORATION

BD
CRD#: 16184
ENGLEWOOD, CO
Past

December 5, 1990 - July 6, 1992

AMERICAN FRONTEER FINANCIAL CORPORATION

BD
CRD#: 1398
DENVER, CO
Past

September 26, 1985 - October 25, 1990

R.B. MARICH, INC.

BD
CRD#: 13227
Past

July 5, 1985 - September 16, 1985

MARSHALL DAVIS, INC.

BD
CRD#: 16278
Past

February 7, 1985 - June 3, 1985

NIELSON AND CLARK INC.

BD
CRD#: 13508
Past

October 27, 1982 - December 27, 1984

RICHEY, FRANKEL & COMPANY

BD
CRD#: 8548
Past

March 9, 1982 - November 24, 1982

PRESTIGE INVESTORS, INC.

BD
CRD#: 10300
Past

August 10, 1979 - February 22, 1982

WALFORD, DEMARET & CO., INC.

BD
CRD#: 7985
Past

May 28, 1978 - August 16, 1979

AMERICAN WESTERN SECURITIES, INC.

BD
CRD#: 7619
Past

November 26, 1976 - May 28, 1978

AMERICAN WESTERN SECURITIES, INC.

BD
CRD#: 6304
Past

May 5, 1976 - October 4, 1976

INSTITUTIONAL SECURITIES OF COLORADO, INC.

BD
CRD#: 5776
Past

September 19, 1973 - October 23, 1974

MOUNTAIN PACIFIC INVESTMENT CO.

BD
CRD#: 4296

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: 12/27/1979
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 7/24/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/27/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 9/14/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/6/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 40
Date: 9/24/1976
Registered Principal Examination

Current Firm

W&
WILSON-DAVIS & CO., INC.
WILSON-DAVIS & CO., INC.

CRD#: 3777 / SEC#: , 8-14299

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
236 South Main Street, Salt Lake City, UT 84101-2104
Mailing Address
P.o. Box 11587, Salt Lake City, UT 84147-0587
Phone number
(801) 532-1313
Established
Utah since 11/12/1968
Firm type
Corporation
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ATLASCLEAR HOLDINGS, INC.OWNER
EGGERTZ, LINCOLN TYLERCHIEF COMPLIANCE OFFICER | CHIEF AML COMPLIANCE OFFICER7336125
LOSSER, JANA MARIEPRINCIPAL OPERATIONS OFFICER4562682
SIME, JEFFREY NORMANPRINCIPAL FINANCIAL OFFICER1554798
SIME, JEFFREY NORMANCEO1554798

Disclosures

Regulatory Event57
Arbitration1

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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Company Information

WILSON-DAVIS & CO., INC.

CRD#: 3777

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