James David Norton

Employer firm

Integrated Wealth Concepts LLC CRD 284656

$23.6B regulatory AUM 875 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2019 → 10/2019
  Keating & Associates, Inc
  Lawrence, KS
• 01/2002 → 07/2025
  Raymond James Financial Services, Inc
  Lawrence, KS
• 01/2001 → 07/2025
  Cafeteria/Pension Admin. Ltc Employee Benefits
  Lawrence, KS
• 01/2007 → 06/2017
  Keating Financial Advisory Services, Llc
  Lawrence, KS
• 01/2009 → 07/2025
  Raymond James Financial Services Advisors, Inc
  Lawrence, KS
• 01/2021 → Present
  Pisces Wealth Team
  Lawrence, KS
• 02/2008 → 01/2026
  Keating Financial Advisory Services, Inc.
  Lawrence, KS
• 09/2025 → 01/2026
  Purshe Kaplan Sterling Investments
  Albany, NY
• 01/2026 → Present
  Integrated Wealth Concepts, Llc
  Waltham, MA

Previous Registrations

• 2007-10-18 → 2026-01-08
  Keating Financial Advisory Services
  Lawrence, KS
  Manhattan, KS
  Manhattan, KS
• 2009-01-02 → 2025-07-01
  Raymond James Financial Services Advisors, Inc
  Lawrence, KS
  Katy, TX
• 2002-07-23 → 2009-01-02
  Raymond James Financial Services, Inc.
  Lawrence, KS
  Manhattan, KS
  Lawrence, KS
  Katy, TX

Other Businesses

01/2018 - Fixed Insurance. Non-investment related. At Registered Location. Fixed/Traditional Insurance. Agent. 01/2018. 10. 10 during securities trading hours. Sales of fixed/traditional insurance. 01/2026 - INTEGRATED WEALTH CONCEPTS, LLC - DBA: PISCES WEALTH - INV REL - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR DBA - IAR - STARTED 01/02/2026 - 160 HOURS PER MONTH DURING SECURITIES TRADING HOURS.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-05-25
• S63 Uniform Securities Agent State Law Examination
  2002-05-01