John J. Norton
Professional summary
John Jacob Norton, who also goes by Jake Norton, is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in Rockford, Michigan and SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. John has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Jacob Norton's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 24, 2015 - Present
SEI INVESTMENTS MANAGEMENT CORP
September 23, 2015 - Present
SEI INVESTMENTS DISTRIBUTION CO.
Office #1: One Freedom Valley Drive, Oaks, PA 19456December 22, 2011 - September 15, 2015
CURIAN CAPITAL, LLC
December 22, 2011 - September 15, 2015
CURIAN CLEARING, LLC
June 24, 2011 - December 7, 2011
NATIONAL PLANNING CORPORATION
August 16, 2010 - December 7, 2011
NATIONAL PLANNING CORPORATION
November 29, 2006 - September 1, 2010
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
Primary Firm SEC Registration
SEI INVESTMENTS MANAGEMENT CORP
CRD#: 105146 / SEC#: 801-24593
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/23/2015)
(9/30/2015)
(9/23/2015)
(9/25/2015)
Exams
FINRA
Current Firm
SEI INVESTMENTS MANAGEMENT CORP
CRD#: 105146 / SEC#: 801-24593
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 99,603 |
| AUM (Assets Under Management) | $ 198,143,431,156 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 01/27/2025 | ||
| 10/25/2023 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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