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Scott M. Norris
TROXELL FINANCIAL
Springfield, IL 62704
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CRD#: 4153601
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Professional summary
Scott Michael Norris, AIF®, CFP®, who also goes by Scott Michael Norris Mr, is a registered financial advisor currently at TROXELL FINANCIAL located in Springfield, Illinois.
Scott is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Scott has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Michael Norris Mr
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.
(1.) NAME OF OBA: INDEPENDENT INSURANCE AGENT; ADDRESS OF OBA: SPRINGFIELD, IL 62704; NATURE: SELLING FIXED PRODUCTS; INVESTMENT RELATED: NO; TITLE WITH OBA: INDEPENDENT INSURANCE AGENT; DUTIES: SELLING FIXED PRODUCTS; START DATE: 12/2000; APPROX. NUMBER OF HOURS/MONTH: 0.5; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (2.) NAME OF OBA: C&N INVESTMENTS, LLC; ADDRESS OF OBA: SPRINGFIELD, IL 62704; NATURE: PRIVATE PLACEMENT INVESTMENTS; INVESTMENT RELATED: NO; TITLE WITH OBA: MEMBER; DUTIES: MANAGEMENT; START DATE: 12/2021; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (3.) NAME OF OBA: 5945 SAND WEDGE LLC; ADDRESS OF OBA: NAPLES, FL 34103; NATURE: RENTAL REAL ESTATE; INVESTMENT RELATED: NO; TITLE WITH OBA: MEMBER; DUTIES: MANAGEMENT; START DATE: 09/2022; APPROX. NUMBER OF HOURS/MONTH: 1; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0; (4.) NAME OF OBA: 1200 CENTRE WEST LLC; ADDRESS OF OBA: SPRINGFIELD, IL; 62704; NATURE: REAL ESTATE; INVESTMENT RELATED: NO; TITLE WITH OBA: MEMBER; DUTIES: MANAGEMENT; START DATE: 08/2024; APPROX. NUMBER OF HOURS/MONTH: 5; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 0
CRS (Client Relationship Summary) - RIA
Click below to view Scott Michael Norris's 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®
CFP®
Start date: 2011
Experience
Current
March 7, 2014 - Present
TROXELL FINANCIAL
Office #1: 214 South Grand Avenue West, Springfield, IL 62704Office #2: 2400 Tamiami Trail North Suite 403, Naples, FL 34103RIA
CRD#: 168998
Springfield, IL
Past
June 25, 2018 - December 31, 2019
MUTUAL SECURITIES, INC.
BD
CRD#: 13092
SPRINGFIELD, IL
Past
January 8, 2004 - July 2, 2018
LPL FINANCIAL LLC
RIA
CRD#: 6413
SPRINGFIELD, IL
Past
January 7, 2004 - July 2, 2018
LPL FINANCIAL LLC
BD
CRD#: 6413
SPRINGFIELD, IL
Past
January 5, 2004 - January 7, 2004
LPL FINANCIAL LLC
RIA
CRD#: 6413
SPRINGFIELD, IL
Past
December 29, 2000 - January 7, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
SPRINGFIELD, IL
Past
October 5, 2000 - January 7, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
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".
TF
TROXELL FINANCIAL
CRUMLY AND ASSOCIATES, INC. | TROXELL FINANCIAL ADVISORS | TROXELL FINANCIAL | EVERGREEN WEALTH | CRUMLY AND ASSOCIATES, INCORPORATED
CRD#: 168998 / SEC#: 801-81175
RIA
Registered Investment Advisory firm - (3/24/2015 Approved)Illinois
Registered Investment Advisory firm - (3/24/2015 Terminated)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(3/17/2022)
IAR
Illinois(3/7/2014)
IAR
Texas(11/16/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
TF
TROXELL FINANCIAL
CRUMLY AND ASSOCIATES, INC. | TROXELL FINANCIAL ADVISORS | TROXELL FINANCIAL | EVERGREEN WEALTH | CRUMLY AND ASSOCIATES, INCORPORATED
CRD#: 168998 / SEC#: 801-81175
RIA
Registered Investment Advisory firm - (3/24/2015 Approved)Illinois
Registered Investment Advisory firm - (3/24/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
214 South Grand Avenue West, Springfield, IL 62704
Mailing Address
Phone number
(217) 321-3210
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (6 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,500 |
| AUM (Assets Under Management) | $ 969,825,114 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2025 | ||
| 11/08/2024 | ||
| 10/31/2023 |
Red Flags
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Company Information
TROXELL FINANCIAL
CRD#: 168998Springfield, IL 62704TRUST BUT VERIFY
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