Norton Q. Sloan

SAFFORD NICHOLAS H & CO

ROCKPORT, MA 01966

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CRD#: 4965593

Professional summary

Norton Quincy Sloan III is a registered financial advisor currently at SAFFORD NICHOLAS H & CO INC located in Rockport, Massachusetts.

Norton is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Norton has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norton Quincy Sloan III's CRS (Customer Relationship Summary).

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®

None

Experience

Current

September 2, 2005 - Present

SAFFORD NICHOLAS H & CO INC

Office #1: 9 Cleaves Street, Rockport, MA 01966

RIA

CRD#: 104740

ROCKPORT, MA

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".

SAFFORD NICHOLAS H & CO INC

SAFFORD INVESTMENT COUNSEL | SAFFORD NICHOLAS H & CO INC

CRD#: 104740 / SEC#: 801-19482

RIA

Registered Investment Advisory firm - (8/2/1983 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(9/2/2005)

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

IAR

Series 65

Date: 9/1/2005

Uniform Investment Adviser Law Examination

Current Firm

SAFFORD NICHOLAS H & CO INC

SAFFORD INVESTMENT COUNSEL | SAFFORD NICHOLAS H & CO INC

CRD#: 104740 / SEC#: 801-19482

RIA

Registered Investment Advisory firm - (8/2/1983 Approved)

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Contact information

Main Address

9 Cleaves Street, Rockport, MA 01966-1520

Mailing Address

Phone number

(978) 546-2462

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NICHOLAS H. SAFFORD & CO., INC. BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	155
AUM (Assets Under Management)	$ 1,871,274,012

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/14/2025	Cover Page	Report
11/14/2024	Cover Page	Report
09/08/2023	Cover Page	Report
11/15/2022	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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Norton Q. Sloan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Norton Quincy Sloan III's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAFFORD NICHOLAS H & CO INC

Primary Firm SEC Registration

SAFFORD NICHOLAS H & CO INC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/1/2005

Current Firm

SAFFORD NICHOLAS H & CO INC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SAFFORD NICHOLAS H & CO INC

TRUST BUT VERIFY

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