David J. 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.
David James Norton, who also goes by David Norton, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2011. David had worked at 4 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2022 - July 3, 2023
SI SECURITIES, LLC
January 3, 2017 - February 23, 2022
STEPHENS
March 25, 2015 - December 20, 2016
MACQUARIE CAPITAL (USA) INC.
November 30, 2011 - February 6, 2015
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Exams
Current Firm
SI SECURITIES, LLC
CRD#: 170937 / SEC#: , 8-69440
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
