Charles H. Spence

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CRD#: 431751

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.

Charles Hudgins Spence JR, who also goes by Chuck Spence Jr, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1971. Charles had worked at 9 firms and has passed the Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Chuck Spence Jr

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

October 24, 2007 - July 8, 2018

NORTON CAPITAL MANAGEMENT, INC.

RIA

CRD#: 110398

NORFOLK, VA

Past

September 19, 2007 - October 24, 2007

BI INVESTMENTS, LLC

RIA

CRD#: 125437

NORFOLK, VA

Past

September 19, 2007 - October 24, 2007

BI INVESTMENTS, LLC

CRD#: 125437

NORFOLK, VA

Past

May 16, 2006 - August 29, 2007

DAVENPORT & COMPANY LLC

RIA

CRD#: 1588

NORFOLK, VA

Past

May 1, 2006 - August 29, 2007

DAVENPORT & COMPANY LLC

CRD#: 1588

NORFOLK, VA

Past

October 6, 2005 - May 3, 2006

STERLING ASSET MANAGEMENT, LLC

RIA

CRD#: 119700

NORFOLK, VA

Past

September 30, 2005 - May 4, 2006

SECURITIES AMERICA, INC.

CRD#: 10205

NORFOLK, VA

Past

November 5, 2001 - October 4, 2005

CAP PRO BROKERAGE SERVICES, INC.

CRD#: 103953

COLUMBUS, OH

Past

March 6, 1998 - September 24, 2001

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

October 25, 1989 - March 6, 1998

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

September 20, 1971 - October 11, 1989

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

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".

NORTON CAPITAL MANAGEMENT, INC.

NORTON CAPITAL MANAGEMENT INC | NORTON CAPITAL MANAGEMENT, INC.

CRD#: 110398 / SEC#: 801-111866

RIA

Registered Investment Advisory firm - (10/13/2017 Approved)

North Carolina

Registered Investment Advisory firm - (12/11/2017 Terminated)

Texas

Registered Investment Advisory firm - (12/11/2017 Terminated)

Virginia

Registered Investment Advisory firm - (12/11/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Series 63

Date: 2/21/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 9/15/1971

Registered Representative Examination

Current Firm

NORTON CAPITAL MANAGEMENT, INC.

NORTON CAPITAL MANAGEMENT INC | NORTON CAPITAL MANAGEMENT, INC.

CRD#: 110398 / SEC#: 801-111866

RIA

Registered Investment Advisory firm - (10/13/2017 Approved)

North Carolina

Registered Investment Advisory firm - (12/11/2017 Terminated)

Texas

Registered Investment Advisory firm - (12/11/2017 Terminated)

Virginia

Registered Investment Advisory firm - (12/11/2017 Terminated)

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Contact information

Main Address

440 Monticello Avenue Suite 1610, Norfolk, VA 23510-2670

Mailing Address

Phone number

(757) 623-1200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (12/26/2024)

Regulatory assets under management

Total Number of Accounts	294
AUM (Assets Under Management)	$ 132,931,862

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
05/05/2025	Cover Page	Report
09/09/2024	Cover Page	Report
09/06/2023	Cover Page	Report
01/13/2023	Cover Page	Report

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

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Charles H. Spence

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTON CAPITAL MANAGEMENT, INC.

BI INVESTMENTS, LLC

BI INVESTMENTS, LLC

DAVENPORT & COMPANY LLC

DAVENPORT & COMPANY LLC

STERLING ASSET MANAGEMENT, LLC

SECURITIES AMERICA, INC.

CAP PRO BROKERAGE SERVICES, INC.

MML INVESTORS SERVICES, LLC

NEW ENGLAND SECURITIES

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

NORTON CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/21/1983

Series 1

Date: 9/15/1971

Current Firm

NORTON CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTON CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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