David E. Norris

LADD CAPITAL MANAGEMENT LLC

BOCA RATON, FL 33486

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CRD#: 4150520

Professional summary

David E. Norris, CFA is a registered financial advisor currently at LADD CAPITAL MANAGEMENT LLC located in Boca Raton, Florida.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. David has worked at 3 firms and has passed the Series 6 exam.

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 David E. Norris'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®

CFA

Chartered Financial Analyst

Experience

Current

February 3, 2014 - Present

LADD CAPITAL MANAGEMENT LLC

Office #1: 784 Camino Lake Circle, Boca Raton, FL 33486

RIA

CRD#: 105162

BOCA RATON, FL

Past

January 5, 2005 - February 18, 2009

OAKTREE ASSET MANAGEMENT, LLC

RIA

CRD#: 131378

BOCA RATON, FL

Past

July 7, 2000 - August 31, 2001

UST FINANCIAL SERVICES CORP.

CRD#: 36881

NEW YORK, NY

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".

LADD CAPITAL MANAGEMENT LLC

CRD#: 105162 / SEC#: 801-11098

RIA

Registered Investment Advisory firm - (10/23/1975 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

Florida
(2/3/2014)

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

General Industry/Product Exam

Series 6

Date: 7/6/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LADD CAPITAL MANAGEMENT LLC

CRD#: 105162 / SEC#: 801-11098

RIA

Registered Investment Advisory firm - (10/23/1975 Approved)

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Contact information

Main Address

110 Whitney Ave, New Haven, CT 06510

Mailing Address

Phone number

(203) 562-6624

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LADD CAPITAL MANAGEMENT LLC, PART 2 (2/25/2025)

Regulatory assets under management

Total Number of Accounts	160
AUM (Assets Under Management)	$ 161,692,600

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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David E. Norris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David E. Norris's CRS (Customer Relationship Summary).

Certified licenses

Experience

LADD CAPITAL MANAGEMENT LLC

OAKTREE ASSET MANAGEMENT, LLC

UST FINANCIAL SERVICES CORP.

Primary Firm SEC Registration

LADD CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 6

Date: 7/6/2000

Current Firm

LADD CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LADD CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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