AN
Alec Norton
FORTIS CAPITAL ADVISORS
Boston, MA
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CRD#: 7275962
AN
Professional summary
Alec Norton is a registered financial advisor currently at FORTIS CAPITAL ADVISORS, LLC located in Boston, Massachusetts and D.H. HILL SECURITIES, LLLP located in Kingwood, Texas.
Alec is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Alec has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) INSURANCE BROKERAGE | INVESTMENT RELATED: YES | POSITION HELD:AGENT | ADDRESS: SAME ADDRESS AS BRANCH| START DATE: 2/1/2020 | NATURE OF ACTIVITY: MULTI-LINE INSURANCE | APPROX HRS PER MTH: OVER 140 HRS | APPROX TRADING HRS PER MTH: OVER 140 HRS | DESCRIPTION OF DUTIES: INSURANCE SALES AND SERVICE FOR MULTIPLE CARRIERS 2) REAL ESTATE LICENSE, INVESTMENT RELATED, NEWINGTON, CT, START DATE: 08/2016, REAL ESTATE BROKER BUT NOT ACTIVELY SOLICITING, 0 HOURS CURRENTLY 3) FORTIS CAPITAL ADVISORS; IS INVESTMENT RELATED; INVESTMENT ADVISOR REPRESENTATIVE; SAME AS BRANCH OFFICE; START DATE 6/2020; APPROX 140 HRS PER MONTH AND DURING TRADING; OFFER INVESTMENT ADVISORY ADVICE AND MANAGEMENT
CRS (Client Relationship Summary) - RIA
Click below to view Alec 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
May 13, 2021 - Present
FORTIS CAPITAL ADVISORS, LLC
RIA
CRD#: 309709
Boston, MA
Current
April 26, 2023 - Present
D.H. HILL SECURITIES, LLLP
Office #1: 1543 Green Oak Place, Suite 100, Kingwood, TX 77339BD
CRD#: 41528
Kingwood, TX
Past
April 22, 2021 - April 27, 2021
HORNOR, TOWNSEND & KENT, LLC
RIA
CRD#: 4031
WAKEFIELD, MA
Past
September 14, 2020 - April 27, 2021
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
WAKEFIELD, 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".
FC
FORTIS CAPITAL ADVISORS, LLC
ARCHER WEALTH PLANNING | WESTLAKE WEALTH MANAGEMENT, LLC | UNITED SUCCESS BUSINESS ADVISORY LLC | TURMAN FINANCIAL GROUP, LLC | TRUVIUM CAPITAL PARTNERS | TIMBER POINT CAPITAL MANAGEMENT | SJ BOYLE WEALTH PLANNING, LLC | SERENITY WEALTH MANAGEMENT | RAPPS & ASSOCIATES | PFS ADVISORS, LLC | NEXT HORIZON ADVISORS, LLC | NETWORK 1 FINANCIAL PRIVATE WEALTH MANAGEMENT | LRVS ADVISORY GROUP | JOSHPE FINANCIAL | ISAAC FINANCIAL | HORIZON PRIVATE WEALTH | GRATUS WEALTH MANAGEMENT | GENERATIONS WEALTH PARTNERS | FORTIS CAPITAL ADVISORS, LLC | COPA WEALTH STRATEGIES | COMPASS WEALTH SOLUTIONS | CLEARPATH FINANCIAL | BE INVESTMENT MANAGEMENT | AWS WEALTH MANAGEMENT
CRD#: 309709 / SEC#: 801-119354
RIA
Registered Investment Advisory firm - (8/28/2020 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.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
Connecticut(4/26/2023)
IAR
Massachusetts(1/18/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/14/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FORTIS CAPITAL ADVISORS, LLC
ARCHER WEALTH PLANNING | WESTLAKE WEALTH MANAGEMENT, LLC | UNITED SUCCESS BUSINESS ADVISORY LLC | TURMAN FINANCIAL GROUP, LLC | TRUVIUM CAPITAL PARTNERS | TIMBER POINT CAPITAL MANAGEMENT | SJ BOYLE WEALTH PLANNING, LLC | SERENITY WEALTH MANAGEMENT | RAPPS & ASSOCIATES | PFS ADVISORS, LLC | NEXT HORIZON ADVISORS, LLC | NETWORK 1 FINANCIAL PRIVATE WEALTH MANAGEMENT | LRVS ADVISORY GROUP | JOSHPE FINANCIAL | ISAAC FINANCIAL | HORIZON PRIVATE WEALTH | GRATUS WEALTH MANAGEMENT | GENERATIONS WEALTH PARTNERS | FORTIS CAPITAL ADVISORS, LLC | COPA WEALTH STRATEGIES | COMPASS WEALTH SOLUTIONS | CLEARPATH FINANCIAL | BE INVESTMENT MANAGEMENT | AWS WEALTH MANAGEMENT
CRD#: 309709 / SEC#: 801-119354
RIA
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Contact information
Main Address
7301 Mission Road Suite 326, Prairie Village, KS 66208
Mailing Address
Phone number
(913) 222-8862
Established
Firm type
Fiscal year end
# of Employees
69
SEC notice filing (33 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,774 |
| AUM (Assets Under Management) | $ 1,212,196,068 |
Red Flags
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