NORTON E. STERN
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.
NORTON ELLIOTT STERN, who also goes by Norton E Stern, was a registered financial professional .
NORTON is a previously registered financial professional and started their career in finance in 1969. NORTON had worked at 16 firms and has passed the Series 65, Series 63, Series 7TO, SIE, PC, Series 1 and Series 24 exams.
Biography
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 2, 2017 - January 8, 2025
HIGHTOWER SECURITIES, LLC
May 1, 2017 - January 8, 2025
HIGHTOWER ADVISORS, LLC
September 29, 2000 - May 2, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 10, 1999 - May 2, 2017
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 5, 1996 - February 17, 1999
PIM FINANCIAL SERVICES, INC.
September 1, 1994 - February 27, 1996
PRINCIPAL FINANCIAL SECURITIES,INC.
October 16, 1989 - September 1, 1994
HAMILTON INVESTMENTS, INC.
December 27, 1985 - October 31, 1989
KORN, WOMACK, STERN AND ASSOCIATES, INC.
May 24, 1985 - January 13, 1986
VALUE EQUITIES CORPORATION
December 20, 1984 - May 24, 1985
MARINER FINANCIAL SERVICES, INC.
July 6, 1983 - January 7, 1985
WZW FINANCIAL SERVICES, INC.
June 19, 1980 - November 6, 1981
KEYPORT FINANCIAL SERVICES CORP.
January 14, 1977 - August 29, 1977
PROVIDENT MARKETING CORPORATION
November 14, 1974 - January 14, 1977
PROVIDENT NATIONAL EQUITIES, INC.
November 29, 1973 - July 5, 1983
CORNERSTONE FINANCIAL SERVICES, INC.
September 11, 1973 - January 6, 1974
ADVANTAGE CAPITAL CORPORATION
October 25, 1972 - October 10, 1973
JOHN HANCOCK DISTRIBUTORS LLC
June 17, 1969 - November 18, 1972
ADVANTAGE CAPITAL CORPORATION
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 12/30/1992
AMEX Put and Call ExamSeries 1
Date: 6/12/1969
Registered Representative ExaminationCurrent Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
