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Derek L. Norton

HUDSON CAPITAL ADVISORS BD LLC
Santa Monica, CA 90401
Some features on this profile are disabled
CRD#: 6234933
DN

Professional summary

Derek Lee Norton, who also goes by Derek Norton, is a registered financial professional currently at HUDSON CAPITAL ADVISORS BD LLC located in Santa Monica, California.

Derek is registered as a RR (Registered Representative) and started their career in finance in 2015. Derek has worked at 1 firm and has passed the Series 63, SIE and Series 82 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Derek Norton

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) - BD

Click below to view Derek Lee Norton's CRS (Customer Relationship Summary).

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

Current

December 17, 2015 - Present

HUDSON CAPITAL ADVISORS BD LLC

Office #1: 100 Wilshire Boulevard, Suite 700, Santa Monica, CA 90401
BD
CRD#: 132424
Santa Monica, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(12/17/2015)

Exams

State Security Law Exam
RR
Series 63
Date: 10/23/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 12/17/2015
Limited Representative-Private Securities Offerings
SRO Registrations
RR
FINRA

Current Firm

HC
HUDSON CAPITAL ADVISORS BD LLC
HUDSON CAPITAL ADVISORS BD LLC

CRD#: 132424 / SEC#: , 8-66595

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
100 Wilshire Boulevard, Suite 700, Santa Monica, CA 90401
Mailing Address
100 Wilshire Boulevard, Suite 700, Santa Monica, CA 90401
Phone number
(310) 486-2593
Established
Delaware since 12/04/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
RABEN, BRUCE IRAPRESIDENT, CEO, CCO704785
HENDERSON, STUART ROBERTFINOP1121476

Disclosures

Regulatory Event1

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

HUDSON CAPITAL ADVISORS BD LLC

CRD#: 132424Santa Monica, CA 90401

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