Bernard F. 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.
Bernard Francis Norton III, who also goes by Bernard Francis Norton III, Bernard Norton, Bernard Francis Norton, was a registered financial professional .
Bernard is a previously registered financial professional and started their career in finance in 2006. Bernard had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 22, 2021 - May 5, 2026
BROOKFIELD PRIVATE WEALTH LLC
February 7, 2019 - December 31, 2021
QUASAR DISTRIBUTORS, LLC
February 6, 2019 - December 22, 2021
BROOKFIELD PRIVATE ADVISORS LLC
December 17, 2015 - January 16, 2019
BMO INVESTMENT DISTRIBUTORS, LLC
January 3, 2012 - December 16, 2015
PACIFIC CURRENT GROUP
July 14, 2011 - August 30, 2012
ALPS DISTRIBUTORS, INC.
December 15, 2006 - May 16, 2011
JANUS HENDERSON DISTRIBUTORS US LLC
State Registrations and Notice Filings
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Exams
Current Firm
BROOKFIELD PRIVATE WEALTH LLC
CRD#: 313390 / SEC#: , 8-70722
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Red Flags
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