Sampson James Norton

Employer firm

The Yanker Group CRD 281364

$296M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)

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

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

Current Employers

Employment History

• 08/2016 → 03/2017
  Umb Financial Services, Inc.
  St Louis, MO
• 04/2017 → 11/2022
  Mass Mutual Life Insurance Co
  Chesterfield, MO
• 09/2017 → 10/2022
  Mml Investors Services, Llc
  Chesterfield, MO
• 11/2022 → Present
  Lpl Financial Llc
  Manchester, MO

Previous Registrations

• 2017-09-18 → 2022-11-16
  Mml Investors Services, Llc
  Chesterfield, MO
  St. Louis, MO
• 2017-01-11 → 2017-03-09
  Umb Financial Services, Inc.
  St. Louis, MO

Other Businesses

1)10/28/2022 - THE YANKER GROUP - DBA for LPL Business (entity for LPL business) - Inv Rel - AT Reported Business Location(s) 2)10/28/2022 - Sam Norton Financial Services - Non-Variable Insurance - Inv Rel - At Reported Business Location(s) 3)10/28/2022 - Buddy Fund - Non-Profit Board Member - Non-Inv Rel - St. Louis, MO - Start: 03/2022 4)01/11/2023 - The Yanker Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - advisor - Start Date - 11/04/2022 - 200 Hours Per Month/8 Hours Per Month - Time Spent 50% - I provide investment advisory services through The Yanker Group, an independent investment advisor firm. I started this business activity in 11/2022. I expect to spend approximately 200 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5)01/17/2023 - Firethorn & Associates LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 01/04/2023 - 160 Hours Per Month/160 Hours During Securities Trading

Exams

• S66 Uniform Combined State Law Examination
  2016-12-27

Designations

• Certified Financial Planner

Other Names

• Sam Norton