Timothy 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.
Timothy Norton was a registered financial professional .
Timothy is a previously registered financial professional and started their career in finance in 2012. Timothy had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 79 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
March 6, 2018 - October 14, 2019
LONGSHIP ALTERNATIVE ASSET MANAGEMENT
April 21, 2015 - April 6, 2016
MIZUHO SECURITIES USA LLC
July 27, 2012 - April 15, 2015
NATWEST MARKETS SECURITIES INC.
July 13, 2012 - July 20, 2012
LONGSHIP ALTERNATIVE ASSET MANAGEMENT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LONGSHIP ALTERNATIVE ASSET MANAGEMENT
CRD#: 126798 / SEC#: , 8-65914
Contact information
FINRA licenses (4 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STEARNS, ROBERT FREDERICK | PRINCIPAL & OWNER, CHIEF COMPLIANCE OFFICER | |
| BARIS, CONSTANTINE WILLIAM | CFO & FINANCIAL OPTIONS PRINCIPAL | 4533144 |
Red Flags
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