Joseph M. Norton

CAPITAL AND PLANNING

Jonesboro, GA 30236

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CRD#: 6666537

Professional summary

Joseph M Norton, who also goes by Joseph Michael Norton, Joseph Norton, Joe Michael Norton, is a registered financial advisor currently at CAPITAL AND PLANNING, LLC located in Jonesboro, Georgia and LPL FINANCIAL LLC located in Jonesboro, Georgia.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Joseph has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joseph Michael Norton | Joseph Norton | Joe Michael 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) - RIA

Click below to view Joseph M Norton's CRS (Customer Relationship Summary).

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

May 15, 2026 - Present

CAPITAL AND PLANNING, LLC

Office #1: 2242 Mt. Zion Road, Jonesboro, GA 30236

RIA

CRD#: 321104

Jonesboro, GA

Current

April 20, 2026 - Present

LPL FINANCIAL LLC

Office #1: 2242 Mt Zion Rd, Jonesboro, GA 30236

RIA

CRD#: 6413

Jonesboro, GA

Past

January 6, 2024 - April 23, 2026

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

Atlanta, GA

Past

January 4, 2024 - April 23, 2026

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Atlanta, GA

Past

November 5, 2020 - January 5, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

UNIVERSITY PLACE, WA

Past

November 5, 2020 - January 5, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

UNIVERSITY PLACE, WA

Past

September 12, 2016 - November 5, 2020

BANKERS LIFE ADVISORY SERVICES, INC.

RIA

CRD#: 281285

RIVERSIDE, MO

Past

June 27, 2016 - November 5, 2020

BANKERS LIFE SECURITIES, INC.

CRD#: 173962

RIVERSIDE, 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".

CAPITAL AND PLANNING, LLC

CAPITAL AND PLANNING, LLC | EDMONDSON CAPITAL AND FINANCIAL PLANNING

CRD#: 321104 / SEC#: 801-125802

RIA

Registered Investment Advisory firm - (6/3/2022 Approved)

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.

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

Florida
(4/20/2026)

Georgia
(4/20/2026)

IAR

Georgia
(5/15/2026)

Missouri
(4/20/2026)

Washington
(4/20/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/8/2016

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/24/2016

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL AND PLANNING, LLC

CAPITAL AND PLANNING, LLC | EDMONDSON CAPITAL AND FINANCIAL PLANNING

CRD#: 321104 / SEC#: 801-125802

RIA

Registered Investment Advisory firm - (6/3/2022 Approved)

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Contact information

Main Address

2242 Mt. Zion Road, Jonesboro, GA 30236

Mailing Address

Phone number

(678) 519-5733

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A & 2B BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	742
AUM (Assets Under Management)	$ 165,715,423

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.

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Advisor Monitoring

Firm Stability Insights

Joseph M. Norton

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph M Norton's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

BANKERS LIFE ADVISORY SERVICES, INC.

BANKERS LIFE SECURITIES, INC.

Primary Firm SEC Registration

CAPITAL AND PLANNING, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/8/2016

SIE

Date: 10/1/2018

Series 7

Date: 6/24/2016

FINRA

Current Firm

CAPITAL AND PLANNING, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL AND PLANNING, LLC

TRUST BUT VERIFY

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