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DOUGLAS ARTHUR NORTON
CRD#: 4548234
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 400 CAPITOL MALL STE 1700
[KD-RBO]
SACRAMENTO, CA 95814
Registration History
20022004200620082010201220142016201820202022202420262 FIRMS2002 - 2005 (2 years)2 FIRMS2005 - 2006 (1 year)2 FIRMS2006 - 2008 (2 years)2 FIRMS2008 - 2010 (2 years)2 FIRMS2011 - 2012 (<1 year)2 FIRMS2012 - Present (12 years)
License(s)

State Registrations

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Arizona 8/13/2021

B
Michigan 4/30/2021

B
California 4/5/2012

B
Montana 1/4/2021

IA
California 4/5/2012

B
Oregon 7/15/2019

B
Colorado 10/22/2014

B
Tennessee 12/19/2023

B
Florida 11/13/2019

B
Texas 9/1/2020

B
Hawaii 2/22/2023

IA
Texas 9/2/2020

B
Idaho 9/3/2021

B
Virginia 2/8/2018

B
Indiana 1/9/2024

B
Washington 9/17/2021

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
400 CAPITOL MALL STE 1700 [KD-RBO], SACRAMENTO, CA 95814
SACRAMENTO, CA
Registered with this firm since 4/5/2012

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
400 CAPITOL MALL STE 1700 [KD-RBO], SACRAMENTO, CA 95814
SACRAMENTO, CA
Registered with this firm since 4/5/2012

Previous Registration(s)
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IA
06/14/2011 - 03/22/2012 BANCWEST INVESTMENT SERVICES, INC. (BWIS) AND BWIS D/B/A FHIS (CRD#:29357) SACRAMENTO, CA
B
06/14/2011 - 03/22/2012 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) SACRAMENTO, CA
IA
08/13/2008 - 12/31/2010 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SACRAMENTO, CA
B
08/13/2008 - 12/31/2010 FINANCIAL NETWORK INVESTMENT CORPORATION (CRD#:13572) SACRAMENTO, CA
IA
07/07/2006 - 08/13/2008 PENSION PLANNERS SECURITIES, INC. (CRD#:14068) SACRAMENTO, CA
B
07/07/2006 - 08/13/2008 PENSION PLANNERS SECURITIES, INC. (CRD#:14068) SACRAMENTO, CA
IA
05/04/2005 - 07/11/2006 AMERITAS INVESTMENT CORP (CRD#:14869) SACRAMENTO, CA
B
05/04/2005 - 07/11/2006 AMERITAS INVESTMENT CORP. (CRD#:14869) SACRAMENTO, CA
IA
08/20/2002 - 04/29/2005 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) SACRAMENTO, CA
B
07/31/2002 - 04/29/2005 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) ST. PAUL, MN
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.