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RIA / WealthAdvisor26 years in industry

STEPHEN DOUGLAS NORTON

Advisor at COPPELL ADVISORY SOLUTIONS LLC

DALLAS, TX | Belmont, NC

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Search this name across graphsid dfx:ria:515c026e-1409-e493-41ab-a4dbb55e99ab

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:58 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Jun 27, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: COPPELL ADVISORY SOLUTIONS LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 15, 1999earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 11
Current registrations: 1
Registered states: 1
Exams: S63|S65
First exam: Oct 15, 1999
First registration: Jun 27, 2003
Dual registered: no
IAPD individual key: 4015905

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
COPPELL ADVISORY SOLUTIONS LLC	Independent wealth	Mar 25, 2026	n/a	yes	Belmont, NC\|DALLAS, TX	Current employment
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Bd affiliated wealth	Dec 8, 2025	Mar 18, 2026	no	Kings Mountain, NC	Previous registration
DEMPSEY LORD SMITH, LLC	Former SEC adviser	Jul 22, 2019	Dec 8, 2025	no	ROME, GA\|Kings Mountain, NC\|ROME, GA\|Kings Mountain, NC	Previous registration
KALOS MANAGEMENT	Former SEC adviser	Jul 5, 2016	Jul 22, 2019	no	King's Mountain, NC\|PONTE VEDRA BEACH, FL	Previous registration
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC	Former SEC adviser	May 25, 2012	Jul 6, 2016	no	KINGS MOUNTAIN, NC	Previous registration
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC	Former SEC adviser	Jun 16, 2009	Aug 20, 2009	no	MIAMI, FL	Previous registration
AEGIS CAPITAL, LLC	Former SEC adviser	Jan 27, 2009	Mar 27, 2012	no	MOUNT PLEASANT, SC	Previous registration
AEGIS CAPITAL, LLC	Former SEC adviser	Oct 4, 2006	Dec 31, 2008	no	MOUNT PLEASANT, SC	Previous registration
SAGEPOINT FINANCIAL, INC.	Former SEC adviser	Oct 31, 2005	Jul 12, 2006	no	MATTHEWS, NC	Previous registration
SUNAMERICA SECURITIES, INC.	n/a	Feb 1, 2005	Oct 31, 2005	no	MATTHEWS, NC	Previous registration
AEGIS CAPITAL, LLC	Former SEC adviser	Aug 12, 2004	Feb 1, 2005	no	CORNELIUS, NC	Previous registration
WOODBURY FINANCIAL SERVICES, INC.	Former SEC adviser	Jun 27, 2003	Aug 4, 2003	no	CHARLOTTE, NC	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	COPPELL ADVISORY SOLUTIONS LLC	Mar 18, 2026	Mar 25, 2026	7	Firm change	Ibd to RIA
DEMPSEY LORD SMITH, LLC	CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.	Dec 8, 2025	Dec 8, 2025	0	Bulk transfer	RIA to ibd
KALOS MANAGEMENT	DEMPSEY LORD SMITH, LLC	Jul 22, 2019	Jul 22, 2019	0	Firm change	Ibd to RIA
CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC	KALOS MANAGEMENT	Jul 6, 2016	Jul 5, 2016	-1	Firm change	Other
AEGIS CAPITAL, LLC	CAPITAL GUARDIAN WEALTH MANAGEMENT, LLC	Mar 27, 2012	Jun 16, 2009	-1,015	Firm change after gap	Other
SAGEPOINT FINANCIAL, INC.	AEGIS CAPITAL, LLC	Jul 12, 2006	Oct 4, 2006	84	Firm change	Other
SUNAMERICA SECURITIES, INC.	SAGEPOINT FINANCIAL, INC.	Oct 31, 2005	Oct 31, 2005	0	Bulk transfer	Other
AEGIS CAPITAL, LLC	SUNAMERICA SECURITIES, INC.	Feb 1, 2005	Feb 1, 2005	0	Firm change	Other
WOODBURY FINANCIAL SERVICES, INC.	AEGIS CAPITAL, LLC	Aug 4, 2003	Aug 12, 2004	374	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
133025:141238:FL:2019-07-22	Jul 22, 2019	Jul 22, 2019	PONTE VEDRA BEACH, FL	Firm change

Relationships

Registered with (9)

→ COPPELL ADVISORY SOLUTIONS LLCRegistered adviserregistration: current employment
Mar 25, 2026 to presentfactForm ADV
→ CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.Registered adviserregistration: previous registration
Dec 8, 2025 to Mar 18, 2026factForm ADV
→ DEMPSEY LORD SMITH, LLCRegistered adviserregistration: previous registration
Jul 22, 2019 to Dec 8, 2025factForm ADV
→ KALOS MANAGEMENTRegistered adviserregistration: previous registration
Jul 5, 2016 to Jul 22, 2019factForm ADV
→ CAPITAL GUARDIAN WEALTH MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 25, 2012 to Jul 6, 2016factForm ADV
→ AEGIS CAPITAL, LLCRegistered adviserregistration: previous registration
Jan 27, 2009 to Mar 27, 2012factForm ADV
→ SAGEPOINT FINANCIAL, INC.Registered adviserregistration: previous registration
Oct 31, 2005 to Jul 12, 2006factForm ADV
→ SUNAMERICA SECURITIES, INC.Registered adviserregistration: previous registration
Feb 1, 2005 to Oct 31, 2005factForm ADV
→ WOODBURY FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 27, 2003 to Aug 4, 2003factForm ADV

Dated events

Occurred
Mar 18, 2026
Advisor changed firm
Stephen Douglas Norton left Cambridge Investment Research Advisors, Inc. for Coppell Advisory Solutions Llc (registered 2026-03-25)
Form ADVobserved 4 days ago