James D. Norton
KEATING FINANCIAL ADVISORY SERVICES | Senior Wealth Manager
MANHATTAN, KS 66502
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CRD#: 4496197
Professional summary
James David Norton Jr. is a registered financial advisor currently at KEATING FINANCIAL ADVISORY SERVICES located in Manhattan, Kansas and PURSHE KAPLAN STERLING INVESTMENTS located in Manhattan, Kansas.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. James has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Loans/credit services
Philanthropic services
Trust & estate planning
Executive services/Equity comp...
Trading individual securities
Financial planning
Insurance
What is your current number of clients?
Greater than 100
What is your minimum asset requirement?
2M
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.
1) Keating Financial Advisory Services. Investment related. At Registered Location. IAR. 02/2008. 160. 130 during securities trading hours. Wealth Management for clients 2) Fixed Insurance. Non-investment related. At Registered Location. Fixed/Traditional Insurance. Agent. 01/2018. 10. 10 during securities trading hours. Sales of fixed/traditional insurance. 3) Pisces Wealth LLC. Non-investment related. 3208 Saddlehorn Lawrence, KS 66049. Other. Owner/Secretary. 03/2023. 1. 1 during securities trading hours. Used to provide health insurance. 4) Keating Financial Advisory Services. Non-investment related. At Registered Location. Traditional/Fixed Insurance. Agent; 01/2001. 2. 2 during securities trading hours. policy administration and design.
CRS (Client Relationship Summary) - RIA
Click below to view James David Norton Jr.'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®
NoneExperience
Current
October 18, 2007 - Present
KEATING FINANCIAL ADVISORY SERVICES
Office #1: 1011 Poyntz Ave, Manhattan, KS 66502Office #2: 1011 Poyntz Avenue, Manhattan, KS 66502RIA
CRD#: 142772
MANHATTAN, KS
Current
October 2, 2025 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 1011 Poyntz Ave, Manhattan, KS 66502Office #2: 1008 New Hampshire St Suite 300, Lawrence, KS 66044BD
CRD#: 35747
Manhattan, KS
Past
January 2, 2009 - July 1, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
LAWRENCE, KS
Past
July 23, 2002 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
RIA
CRD#: 6694
LAWRENCE, KS
Past
April 2, 2002 - July 1, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
LAWRENCE, KS
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".
KF
KEATING FINANCIAL ADVISORY SERVICES
CONVERSE TEAM | WEDDLE TEAM | STEADFAST WEALTH GROUP | PURPOSEFUL WEALTH ADVISORS | PISCES WEALTH TEAM | KEATING KC | KEATING FINANCIAL ADVISORY SERVICES, INC. | KEATING FINANCIAL ADVISORY SERVICES, INC | KEATING FINANCIAL ADVISORY SERVICES | KEATING & ASSOCIATES | HILLSIDE WEALTH | FIRESIDE WEALTH PLANNING SOLUTIONS
CRD#: 142772 / SEC#: 801-126770
RIA
Registered Investment Advisory firm - (10/21/2022 Approved)Illinois
Registered Investment Advisory firm - (1/20/2023 Terminated)Kansas
Registered Investment Advisory firm - (1/20/2023 Terminated)Missouri
Registered Investment Advisory firm - (12/4/2015 Terminated)Nebraska
Registered Investment Advisory firm - (4/26/2012 Terminated)Texas
Registered Investment Advisory firm - (1/20/2023 Terminated)Washington
Registered Investment Advisory firm - (12/10/2021 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
IAR
Kansas(10/18/2007)
RR
Kansas(10/2/2025)
RR
Missouri(10/2/2025)
RR
Oklahoma(10/2/2025)
IAR
Texas(11/3/2021)
RR
Texas(10/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KF
KEATING FINANCIAL ADVISORY SERVICES
CONVERSE TEAM | WEDDLE TEAM | STEADFAST WEALTH GROUP | PURPOSEFUL WEALTH ADVISORS | PISCES WEALTH TEAM | KEATING KC | KEATING FINANCIAL ADVISORY SERVICES, INC. | KEATING FINANCIAL ADVISORY SERVICES, INC | KEATING FINANCIAL ADVISORY SERVICES | KEATING & ASSOCIATES | HILLSIDE WEALTH | FIRESIDE WEALTH PLANNING SOLUTIONS
CRD#: 142772 / SEC#: 801-126770
RIA
Registered Investment Advisory firm - (10/21/2022 Approved)Illinois
Registered Investment Advisory firm - (1/20/2023 Terminated)Kansas
Registered Investment Advisory firm - (1/20/2023 Terminated)Missouri
Registered Investment Advisory firm - (12/4/2015 Terminated)Nebraska
Registered Investment Advisory firm - (4/26/2012 Terminated)Texas
Registered Investment Advisory firm - (1/20/2023 Terminated)Washington
Registered Investment Advisory firm - (12/10/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1011 Poyntz Avenue, Manhattan, KS 66502
Mailing Address
Phone number
(785) 537-0366
Established
Firm type
Fiscal year end
# of Employees
65
SEC notice filing (32 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 250 |
| AUM (Assets Under Management) | $ 330,000,000 |
Red Flags
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Company Information
KEATING FINANCIAL ADVISORY SERVICES
Senior Wealth ManagerCRD#: 142772Manhattan, KS 66502TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
