Richard J. Norton
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard James Norton was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 8 firms and has passed the Series 63, Series 6, Series 1 and Series 2 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2013 - March 18, 2014
PRUCO SECURITIES, LLC.
February 13, 2001 - January 3, 2013
HIMCO DISTRIBUTION SERVICES COMPANY
February 24, 2000 - February 5, 2001
HOCHMAN & BAKER SECURITIES, INC.
March 8, 1993 - November 16, 1994
NATIONAL PLANNING CORPORATION
June 19, 1983 - October 17, 1989
AETNA LIFE INSURANCE AND ANNUITY COMPANY
July 28, 1980 - June 24, 1993
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
February 23, 1979 - December 2, 1979
ALEXANDER & ALEXANDER SECURITIES CORP.
August 2, 1978 - February 23, 1979
ALEXANDER & ALEXANDER SECURITIES CORPORATION
Primary Firm SEC Registration
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 7/28/1978
Registered Representative ExaminationSeries 2
Date: 12/11/1974
Non-Member General Securities ExaminationCurrent Firm
PRUCO SECURITIES, LLC.
CRD#: 5685 / SEC#: 801-52208, 8-16402
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE PRUDENTIAL INSURANCE COMPANY OF AMERICA | SOLE MEMBER | |
| FELICIANO, DEXTER MICHAEL | PRESIDENT | 5483537 |
| FLORIO, KELLY NICOLE | ANTI-MONEY LAUNDERING OFFICER | 6446272 |
| FONTANO, ANTHONY MICHAEL | ELECTED MANAGER | 6852155 |
| HYNES, PATRICK LIAM | CHAIRMAN, ELECTED MANAGER | 2748918 |
| PATEL, PARANJ | CHIEF COMPLIANCE OFFICER | 4235738 |
| SMIT, ROBERT PHILIP | CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER | 2332366 |
| THOMSEN, JORDAN KARSTEN | CHIEF LEGAL OFFICER | 2821664 |
Disclosures
| Regulatory Event | 30 |
| Arbitration | 13 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/27/2025 | ||
| 12/22/2023 | ||
| 12/22/2023 |
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.
