William R. Norton
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.
William Russell Norton III, who also goes by William R Norton III, William R Norton, William Russell Norton III, William Russell Norton, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2004. William had worked at 9 firms and has passed the Series 66, SIE, Series 3, Series 31, Series 7, Series 10, Series 9 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 12, 2023 - December 12, 2023
MML INVESTORS SERVICES, LLC
July 11, 2022 - September 9, 2022
OSAIC INSTITUTIONS, INC.
July 11, 2022 - September 9, 2022
OSAIC INSTITUTIONS, INC.
June 16, 2021 - February 11, 2022
CUSO FINANCIAL SERVICES, L.P.
June 16, 2021 - February 11, 2022
CUSO FINANCIAL SERVICES, L.P.
August 12, 2019 - March 17, 2021
EQUITABLE ADVISORS, LLC
August 12, 2019 - March 17, 2021
EQUITABLE ADVISORS, LLC
August 1, 2014 - September 14, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
August 1, 2014 - September 14, 2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED
June 1, 2009 - August 12, 2014
MORGAN STANLEY
June 1, 2009 - August 12, 2014
MORGAN STANLEY
December 14, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
December 14, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 9, 2006 - June 13, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
May 9, 2006 - June 13, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
November 15, 2004 - April 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 18, 2004 - April 10, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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
Current Firm
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
