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Richard T Norton

Merrill Lynch, Pierce, Fenner & Smith Incorporated

New York, NY

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APP_PEND_IARCE 2026-01-01
TX RA APPROVED 2009-07-15
  • NJ RA
    APP_PEND_IARCE
    Since 2026-01-01
  • TX RA
    APPROVED
    Since 2009-07-15

Branch Locations

One Bryant Park Investment Solutions Group, New York, NY 10036 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch Pennington NJ 06/2009 Present
  • 06/2009 → Present
    Merrill Lynch
    Pennington, NJ
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-05-09
S63 Uniform Securities Agent State Law Examination 1988-09-07
  • S65 Uniform Investment Adviser Law Examination
    2008-05-09
  • S63 Uniform Securities Agent State Law Examination
    1988-09-07
Other Names
  • Richard Thomas Norton
  • Richard Norton

View on SEC IAPD

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