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Stephen Ernest Norton

SAYBROOK WEALTH GROUP, INC.·OLD SAYBROOK, Connecticut
SIE, Series 6, Series 7, Series 7TO, Series 24, Series 63, Series 66Clean record25 years registeredSAYBROOK WEALTH GROUP, INC.
288 MAIN STREET, OLD SAYBROOK, CT 06475CRD# 2102121Firm CRD# 317867

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Stephen Ernest Norton · OLD SAYBROOK, CT
Registration
CRD #2102121 · SAYBROOK WEALTH GROUP, INC. · 25 years registered
Brand Profile
Not yet started
01

Career History

MAI CAPITAL MANAGEMENT, LLC
Jun 2026 – present
SAYBROOK WEALTH GROUP, INC.
Jan 2022 – Jun 2026
OLD SAYBROOK, CT
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
Jan 2009 – Dec 2021
Old Saybrook, CT
RAYMOND JAMES FINANCIAL SERVICES
Dec 2007 – Jan 2009
Old Saybrook, CT
UBS FINANCIAL SERVICES INC.
Oct 2000 – Dec 2007
NEW HAVEN, CT
02

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 7
Series 7TO
Series 24
Series 63
Series 66
Registration record
First registered · October 4, 2000
Years registered · 25
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
SAYBROOK WEALTH GROUP, INC.
CRD 317867 · SEC 801-122964
AUM
$197M
Regulatory assets under management
Employees
2
928 client accounts
Services offered by SAYBROOK WEALTH GROUP, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Security ratings or pricing services
Charitable organization or education services
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
Nonprofits & Foundations
View all advisors at SAYBROOK WEALTH GROUP, INC. →
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05

Frequently Asked Questions

What services does Stephen Ernest Norton offer?
Stephen Ernest Norton specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in OLD SAYBROOK, Connecticut for a consultation.
What are Stephen Ernest Norton's credentials?
Stephen Ernest Norton is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Stephen Ernest Norton located?
Stephen Ernest Norton is based in OLD SAYBROOK, Connecticut, working with SAYBROOK WEALTH GROUP, INC.. Their office serves clients in the OLD SAYBROOK metropolitan area and surrounding communities.
How does Stephen Ernest Norton charge for services?
Stephen Ernest Norton's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is SAYBROOK WEALTH GROUP, INC.?
SAYBROOK WEALTH GROUP, INC. has approximately 2 employees and manages $197M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in Connecticut
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Research
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