Richard R. 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.
Richard Rollo Norton was a registered financial advisor .
Richard is a previously registered financial advisor and started their career in finance in 1969. Richard had worked at 6 firms and has passed the Series 63, Series 1, Series 51, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 3, 2002 - December 31, 2009
PLANNERS SECURITIES NETWORK CORPORATION
August 23, 1988 - March 12, 2010
PLANNERS SECURITIES NETWORK CORPORATION
August 24, 1987 - April 29, 1989
EQUITY PROGRAMS CORPORATION
June 6, 1984 - September 23, 1987
AMERICAN PACIFIC SECURITIES CORPORATION
January 19, 1982 - May 13, 1985
LINCOLN NATIONAL PENSION INSURANCE COMPANY
June 12, 1969 - May 13, 1985
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 12, 1969 - May 13, 1985
OSAIC FA, 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
Series 1
Date: 6/7/1969
Registered Representative ExaminationCurrent Firm
PLANNERS SECURITIES NETWORK CORPORATION
CRD#: 18857 / SEC#: , 8-37030
Contact information
Documents
Red Flags
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