SN
Sampson J. Norton
THE YANKER GROUP
Manchester, MO 63021
Some features on this profile are disabled
CRD#: 6607073
SN
Professional summary
Sampson James Norton, who also goes by Sam Norton, is a registered financial advisor currently at THE YANKER GROUP located in Manchester, Missouri and LPL FINANCIAL LLC located in Manchester, Missouri.
Sampson is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Sampson has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sam 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)10/28/2022 - THE YANKER GROUP - DBA for LPL Business (entity for LPL business) - Inv Rel - AT Reported Business Location(s) 2)10/28/2022 - Sam Norton Financial Services - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) 3)10/28/2022 - Buddy Fund - Non-Profit Board Member - Non-Inv Rel - St. Louis, MO - Start: 03/2022 4)01/11/2023 - The Yanker Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - advisor - Start Date - 11/04/2022 - 200 Hours Per Month/8 Hours Per Month - Time Spent 50% - I provide investment advisory services through The Yanker Group, an independent investment advisor firm. I started this business activity in 11/2022. I expect to spend approximately 200 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5)01/17/2023 - Firethorn & Associates LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 01/04/2023 - 160 Hours Per Month/160 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Sampson James 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
January 6, 2023 - Present
THE YANKER GROUP
Office #1: 13611 Barrett Office Dr., Ste. 100, Manchester, MO 63021RIA
CRD#: 281364
Manchester, MO
Current
November 4, 2022 - Present
LPL FINANCIAL LLC
Office #1: 13611 Barrett Office Dr #100, Manchester, MO 63021RIA
BD
CRD#: 6413
Manchester, MO
Past
September 18, 2017 - November 16, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Chesterfield, MO
Past
September 12, 2017 - November 16, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Chesterfield, MO
Past
January 11, 2017 - March 9, 2017
UMB FINANCIAL SERVICES, INC.
RIA
CRD#: 17073
ST. LOUIS, MO
Past
September 27, 2016 - March 9, 2017
UMB FINANCIAL SERVICES, INC.
BD
CRD#: 17073
ST. LOUIS, MO
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".
TY
THE YANKER GROUP
THE YANKER GROUP | THE YANKER GROUP, INC.
CRD#: 281364 / SEC#: 801-118402
RIA
Registered Investment Advisory firm - (4/9/2020 Approved)Illinois
Registered Investment Advisory firm - (4/9/2020 Terminated)Missouri
Registered Investment Advisory firm - (9/13/2021 Terminated)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
California(11/4/2022)
RR
Georgia(2/6/2023)
RR
Illinois(11/4/2022)
RR
Kansas(11/4/2022)
RR
Kentucky(11/4/2022)
RR
Mississippi(11/4/2022)
RR
Missouri(11/4/2022)
IAR
Missouri(1/6/2023)
RR
South Carolina(8/20/2024)
RR
Virginia(11/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TY
THE YANKER GROUP
THE YANKER GROUP | THE YANKER GROUP, INC.
CRD#: 281364 / SEC#: 801-118402
RIA
Registered Investment Advisory firm - (4/9/2020 Approved)Illinois
Registered Investment Advisory firm - (4/9/2020 Terminated)Missouri
Registered Investment Advisory firm - (9/13/2021 Terminated)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
13611 Barrett Office Dr., Ste. 100, Manchester, MO 63021
Mailing Address
Phone number
(314) 962-5600
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 852 |
| AUM (Assets Under Management) | $ 265,000,000 |
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
THE YANKER GROUP
CRD#: 281364Manchester, MO 63021TRUST BUT VERIFY
Monitor Sampson Norton
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
