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Charles S. Norton-smith

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CRD#: 5421702
CN

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.

Charles Stockton Norton-smith was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 2008. Charles had worked at 3 firms and has passed the Series 63, SIE, Series 79 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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)

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®
None

Experience

Past

March 18, 2013 - July 21, 2016

HALES SECURITIES, LLC

BD
CRD#: 104415
NEW YORK, NY
Past

December 1, 2009 - August 20, 2010

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY
Past

January 9, 2008 - December 1, 2009

FOX-PITT KELTON COCHRAN CARONIA WALLER (USA) LLC

BD
CRD#: 10485
CHICAGO, IL

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
RR
Series 63
Date: 6/24/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/21/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/16/2013
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 1/8/2008
General Securities Representative Examination

Current Firm

HS
HALES SECURITIES, LLC
DOWLING HALES SECURITIES, LLC | HALES SECURITIES, LLC | HALES CAPITAL SECURITIES LLC | HALES CAPITAL SECURITIES | EQUITYHOUND SECURITIES CORPORATION

CRD#: 104415 / SEC#: , 8-52876

BD
Terminated by SEC on 06/29/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 09/10/2018
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
V & H GROUP LLCSHAREHOLDER
IMHOFF, WILLIAM COLEMANCHIEF COMPLIANCE OFFICER1948272
KRASKA, JOHN JOSEPH IIIPRESIDENT4643253
NIXON, JON ALANFINOP4710715

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.

Company Information

HALES SECURITIES, LLC

CRD#: 104415

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