WN
William P. Norton
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CRD#: 5006208
WN
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 Patrick Norton JR, who also goes by Bill Patrick Norton Jr, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 2005. William had worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Bill Patrick Norton Jr
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.
Soper, Perez & Assoc Inc., CNS Insurance Inc., AOH-Ancient Order of Hibernians, Compass Financial Management Inc., RRRA Inc. 1) DMK Advisors LITTLETON CO 80120. REGISTERED REPRESENTATIVE. START DATE 04/2009. INVESTMENT RELATED. 40 HRS PER WEEK/ 160 HRS PER MONTH. 2) SOPER, PEREZ & ASSOC.- 506 E. SR 434. WINTER SPRINGS, FL 32708. AGENT. START DATE 09/2008. NON-INV RELATED. 40 HRS PER WEEK/ 160 PER MONTH. INDEPENDENT INSURANCE AGENT FOR PERSONAL AND COMMERCIAL INSURANCE. 3) CNS INSURANCE & ASSOC. - SINCE 02-2007; 1680 REDWOOD GROVE TER - LAKE MARY FL 32746; NOT SEC REL - P&C INS BSN - PRESIDENT; DEVOTE APPROX 5% OF MY TIME 4) RRRA OF FL, INC.; POSITION: PRESIDENT NATURE: THIS "NOT FOR PROFIT" ORGANIZATION PROVIDES EDUCATIONAL AND POLITICAL INFORMATION TO THE PUBLIC AND VOTERS OF FLORIDA. OCCASIONALLY WE HOLD A DINNER FOR THE PURPOSES OF RAISING MONEY FOR OUR ORGANIZATION BY SELLING TICKETS TO ATTEND A DINNER AT A LOCAL HOTEL WITH A FEATURED SPEAKER. INVESTMENT RELATED: NO NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/04/2008; ADDRESS: 3901 E. COLONIAL DR., SUITE G, ORLANDO FL 32803; DESCRIPTION: PRESIDE AND OVERSEE THE BUSINESS BEING CONDUCTED AT ANNUAL BOARD MEETINGS. PAY VENDORS WHO PROVIDE DINNERS AND SERVICES TO OUR ANNUAL FUNDRAISING BANQUET. 5) SOPER, PEREZ & ASSOCIATES INC; POSITION: AGENT NATURE: INC INVESTMENT RELATED: YES NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 80 START DATE: 09/15/2008; ADDRESS: 506 E. SR 434, WINTER SPRINGS FL 32708; DESCRIPTION: SELL PROPERTY AND CASUALTY INSURANCE PRODUCTS.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 6, 2022 - January 19, 2024
DMK ADVISOR GROUP, INC.
RIA
CRD#: 41067
Winter Springs, FL
Past
September 29, 2021 - January 22, 2024
COMPASS FINANCIAL MANAGEMENT LLC
RIA
CRD#: 156345
Winter Springs, FL
Past
August 28, 2019 - December 31, 2021
DMK ADVISOR GROUP, INC.
RIA
CRD#: 41067
Winter Springs, FL
Past
March 30, 2019 - January 19, 2024
DMK ADVISOR GROUP, INC.
BD
CRD#: 41067
Winter Springs, FL
Past
June 14, 2018 - April 8, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
WINTER SPRINGS, FL
Past
June 30, 2015 - April 8, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
WINTER SPRINGS, FL
Past
August 5, 2009 - July 1, 2015
THE LEADERS GROUP, INC.
BD
CRD#: 37157
WINTER SPRINGS, FL
Past
November 28, 2005 - November 19, 2007
SECURITIES MANAGEMENT & RESEARCH, INC.
BD
CRD#: 759
WINTER SPRINGS, FL
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".
DA
DMK ADVISOR GROUP, INC.
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
CRD#: 41067 / SEC#: 801-121389, 8-49279
RIA
Registered Investment Advisory firm - SEC (6/3/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Arkansas
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)California
Registered Investment Advisory firm - SEC (7/8/2021 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Delaware
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/15/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2005 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Maine
Registered Investment Advisory firm - SEC (9/5/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/15/2002 Terminated)Michigan
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Mississippi
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (6/28/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New York
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Puerto Rico
Registered Investment Advisory firm - SEC (6/3/2021 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (10/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
DA
DMK ADVISOR GROUP, INC.
DMK ADVISOR GROUP, INC. | STEPHEN A. KOHN & ASSOCIATES, LTD.
CRD#: 41067 / SEC#: 801-121389, 8-49279
RIA
Registered Investment Advisory firm - SEC (6/3/2021 Approved)Arizona
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Arkansas
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)California
Registered Investment Advisory firm - SEC (7/8/2021 Terminated)Colorado
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Connecticut
Registered Investment Advisory firm - SEC (6/10/2021 Terminated)Delaware
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)District of Columbia
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Florida
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Georgia
Registered Investment Advisory firm - SEC (7/15/2021 Terminated)Idaho
Registered Investment Advisory firm - SEC (12/31/2005 Terminated)Illinois
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)Kansas
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Maine
Registered Investment Advisory firm - SEC (9/5/2003 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (2/15/2002 Terminated)Michigan
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Mississippi
Registered Investment Advisory firm - SEC (10/18/2001 Terminated)Missouri
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)Nevada
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (6/28/2021 Terminated)New Mexico
Registered Investment Advisory firm - SEC (12/31/2004 Terminated)New York
Registered Investment Advisory firm - SEC (6/8/2021 Terminated)North Carolina
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Ohio
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Puerto Rico
Registered Investment Advisory firm - SEC (6/3/2021 Terminated)Tennessee
Registered Investment Advisory firm - SEC (6/9/2021 Terminated)Washington
Registered Investment Advisory firm - SEC (10/8/2021 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558
Mailing Address
17961 Hunting Bow Circle Suite 102, Lutz, FL 33558
Phone number
(303) 470-5664
Established
Colorado since 04/30/1996
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees
42
SEC notice filing (34 States and Territories)
FINRA licenses (46 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DESAI, JANAK R | DIRECTOR | 6307455 |
| DOUGLAS, KELVIN RAY | DIRECTOR | 4723703 |
| MISRA, SUNIL DUTT | DIRECTOR/PRINCIPAL | 5617829 |
| PEREZ, JORGE RAMON | DIRECTOR | 2253547 |
| SCHWARTZ, HAROLD ALAN | CEO/PRINCIPAL | 841225 |
| BASKETT, ERIN ELAINE | CHIEF COMPLIANCE OFFICER | 4538604 |
| GALLIGAN, PETER B | FINOP | 1873304 |
| GROSMAN, BARRY JULIAN | DIRECTOR | 7967542 |
| KOHN, STEPHEN ALAN | MUNI PRINCIPAL | 1267211 |
| OHMAN, JOHN DAVID | ROP/CROP | 1059085 |
Regulatory assets under management
| Total Number of Accounts | 469 |
| AUM (Assets Under Management) | $ 84,480,870 |
Disclosures
| Regulatory Event | 5 |
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.
