Stephen D. Norton

COPPELL ADVISORY SOLUTIONS

belmont, NC 28012

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CRD#: 4015905

Professional summary

Stephen Douglas Norton is a registered financial advisor currently at COPPELL ADVISORY SOLUTIONS LLC located in Belmont, North Carolina.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Stephen has worked at 14 firms and has passed the Series 65, Series 63, SIE 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 Stephen Douglas 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

March 25, 2026 - Present

COPPELL ADVISORY SOLUTIONS LLC

Office #1: 123 N. Main St., Belmont, NC 28012

RIA

CRD#: 156549

belmont, NC

Past

December 8, 2025 - March 18, 2026

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

Kings Mountain, NC

Past

November 21, 2025 - March 18, 2026

CAMBRIDGE INVESTMENT RESEARCH, INC.

CRD#: 39543

Kings Mountain, NC

Past

July 22, 2019 - December 8, 2025

DEMPSEY LORD SMITH, LLC

RIA

CRD#: 141238

Kings Mountain, NC

Past

July 22, 2019 - November 21, 2025

DEMPSEY LORD SMITH, LLC

CRD#: 141238

Kings Mountain, NC

Past

July 5, 2016 - July 22, 2019

KALOS MANAGEMENT

RIA

CRD#: 133025

King's Mountain, NC

Past

July 5, 2016 - July 22, 2019

KALOS CAPITAL, INC.

CRD#: 44337

Kings Mountain, NC

Past

May 25, 2012 - July 6, 2016

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA

CRD#: 131631

KINGS MOUNTAIN, NC

Past

June 16, 2009 - August 20, 2009

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

RIA

CRD#: 131631

MIAMI, FL

Past

June 16, 2009 - July 6, 2016

CAPITAL GUARDIAN, LLC

CRD#: 137919

KINGS MOUNTAIN, NC

Past

January 27, 2009 - March 27, 2012

AEGIS CAPITAL, LLC

RIA

CRD#: 125376

MOUNT PLEASANT, SC

Past

October 4, 2006 - December 31, 2008

AEGIS CAPITAL, LLC

RIA

CRD#: 125376

CHARLOTTE, NC

Past

July 10, 2006 - June 9, 2009

TRIAD ADVISORS LLC

CRD#: 25803

KINGS MOUNTAIN, NC

Past

October 31, 2005 - July 12, 2006

OSAIC SERVICES, INC.

RIA

CRD#: 133763

MATTHEWS, NC

Past

October 31, 2005 - July 12, 2006

OSAIC SERVICES, INC.

CRD#: 133763

MATTHEWS, NC

Past

February 1, 2005 - October 31, 2005

SUNAMERICA SECURITIES, INC.

RIA

CRD#: 20068

MATTHEWS, NC

Past

August 12, 2004 - February 1, 2005

AEGIS CAPITAL, LLC

RIA

CRD#: 125376

CORNELIUS, NC

Past

August 18, 2003 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

June 27, 2003 - August 4, 2003

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

CHARLOTTE, NC

Past

March 17, 2003 - August 4, 2003

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

October 11, 1999 - February 13, 2003

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

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".

COPPELL ADVISORY SOLUTIONS LLC

CRD#: 156549 / SEC#: 801-72171

RIA

Registered Investment Advisory firm - (2/28/2011 Approved)

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

North Carolina
(3/25/2026)

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

IAR

Series 65

Date: 5/21/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/15/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/8/1999

General Securities Representative Examination

Current Firm

COPPELL ADVISORY SOLUTIONS LLC

CRD#: 156549 / SEC#: 801-72171

RIA

Registered Investment Advisory firm - (2/28/2011 Approved)

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Contact information

Main Address

9111 Cypress Waters Blvd Suite 140, Dallas, TX 75019

Mailing Address

Phone number

(817) 888-8020

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FUSION FORM ADV PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	9,334
AUM (Assets Under Management)	$ 1,077,958,560

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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Advisor Monitoring

Firm Stability Insights

Stephen D. Norton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Douglas Norton's CRS (Customer Relationship Summary).

Certified licenses

Experience

COPPELL ADVISORY SOLUTIONS LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

CAMBRIDGE INVESTMENT RESEARCH, INC.

DEMPSEY LORD SMITH, LLC

DEMPSEY LORD SMITH, LLC

KALOS MANAGEMENT

KALOS CAPITAL, INC.

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC

CAPITAL GUARDIAN, LLC

AEGIS CAPITAL, LLC

AEGIS CAPITAL, LLC

TRIAD ADVISORS LLC

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

SUNAMERICA SECURITIES, INC.

AEGIS CAPITAL, LLC

SUNAMERICA SECURITIES, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

COPPELL ADVISORY SOLUTIONS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/2003

Series 63

Date: 10/15/1999

SIE

Date: 10/1/2018

Series 7

Date: 10/8/1999

Current Firm

COPPELL ADVISORY SOLUTIONS LLC

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COPPELL ADVISORY SOLUTIONS LLC

TRUST BUT VERIFY

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