DN
Daniel J. Norton
CITIZENS SECURITIES
Medfield, MA 02052
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CRD#: 6442531
DN
Professional summary
Daniel Joseph Norton, who also goes by Dan Norton, Daniel Joseph Norton, Daniel Norton, is a registered financial advisor currently at CITIZENS SECURITIES, INC. located in Medfield, Massachusetts.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Daniel has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Dan Norton | Daniel Joseph Norton | Daniel 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.
1. Bridgewater State University, Women's Ice Hockey Coach, non-investment related, start date 09/01/2018, Bridgewater, MA, 10 hours monthly (in season), 0 during trading hours. 2. Rental Property, Owner/Property manager, non-investment related, start date 2/1/2014, Bridgewater, MA, two hours monthly, none during trading hours. 3. Rental Property, Owner/Property manager, non-investment related, start date 4/1/2020, Naples, FL, two hours monthly, none during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Joseph Norton's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Joseph 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®
NoneExperience
Current
November 4, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 541 Main Street, Medfield, MA 02052Office #2: 126 Medway Road Suite 2, Milford, MA 01757Office #3: 720 South Main Street, Sharon, MA 02067Office #4: 4 Cocasset Street, Foxboro, MA 02035Office #5: 377 Chauncy Street, Mansfield, MA 02048Office #6: 565 Main Street Ma-410, Walpole, MA 02081Office #7: 293 East Central Street Ms: Ma698, Franklin, MA 02038Office #8: 40 Franklin Village Drive Ms: Ma-237, Franklin, MA 02038RIA
BD
CRD#: 39550
Medfield, MA
Current
November 1, 2024 - Present
CITIZENS SECURITIES, INC.
Office #1: 541 Main Street, Medfield, MA 02052Office #2: 126 Medway Road Suite 2, Milford, MA 01757Office #3: 720 South Main Street, Sharon, MA 02067Office #4: 4 Cocasset Street, Foxboro, MA 02035Office #5: 377 Chauncy Street, Mansfield, MA 02048Office #6: 565 Main Street Ma-410, Walpole, MA 02081Office #7: 293 East Central Street Ms: Ma698, Franklin, MA 02038Office #8: 40 Franklin Village Drive Ms: Ma-237, Franklin, MA 02038RIA
BD
CRD#: 39550
Medfield, MA
Past
April 22, 2019 - November 4, 2024
SANTANDER SECURITIES LLC
RIA
CRD#: 41791
Boston, MA
Past
April 9, 2019 - November 4, 2024
SANTANDER SECURITIES LLC
BD
CRD#: 41791
Boston, MA
Past
January 2, 2019 - March 29, 2019
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
WELLESLEY, MA
Past
January 2, 2019 - March 29, 2019
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WELLESLEY, MA
Past
February 8, 2016 - January 2, 2019
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
NO QUINCY, MA
Past
February 26, 2015 - January 2, 2019
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
NO QUINCY, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Georgia(12/16/2024)
IAR
Georgia(12/17/2024)
RR
Massachusetts(11/1/2024)
RR
Rhode Island(11/1/2024)
IAR
Rhode Island(11/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CITIZENS SECURITIES, INC.
CCO INVESTMENT SERVICES CORP. | CITIZENS WEALTH MANAGEMENT | CITIZENS SECURITIES, INC. | CITIZENS PRIVATE WEALTH | CITIZENS PRIVATE CLIENT | CITIZENS INVESTMENT SERVICES CORP. | CITIZENS INVESTMENT SERVICES | CITIZENS INVESTMENT SECURITIES, INC. | CITIZENS FINANCIAL SERVICES INC. | CHARTER ONE INVESTMENT SERVICES
CRD#: 39550 / SEC#: 801-61902, 8-48744
RIA
Registered Investment Advisory firm - SEC (3/27/2003 Approved)Connecticut
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Florida
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)Maine
Registered Investment Advisory firm - SEC (4/14/2003 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (4/10/2003 Terminated)New York
Registered Investment Advisory firm - SEC (3/31/2002 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (5/8/2003 Terminated)Vermont
Registered Investment Advisory firm - SEC (4/28/2003 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Citizens Bank Way Jcb135, Johnston, RI 02043
Mailing Address
200 Station Drive Mws414, Westwood, MA 02090
Phone number
(781) 364-1641
Established
Rhode Island since 09/21/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
418
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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
CITIZENS SECURITIES, INC.
CRD#: 39550Medfield, MA 02052TRUST BUT VERIFY
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