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RIA / WealthAdvisor35 years in industry

STEPHEN ERNEST NORTON

Advisor at MAI CAPITAL MANAGEMENT, LLC

Old Saybrook, CT

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Search this name across graphsid dfx:ria:f03c2514-2c31-9e2b-a738-ed34ccd71d12

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 10:02 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 1
On other graphs: 0
Observed: Oct 4, 2000 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: MAI CAPITAL MANAGEMENT, 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: Mar 18, 1991earliest registration or exam on IAPD
Years in industry: 35derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S66|S63
First exam: Mar 18, 1991
First registration: Oct 4, 2000
Dual registered: no
Other names: STEPHEN ERNEST NORTON
IAPD individual key: 2102121

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
MAI CAPITAL MANAGEMENT, LLC	Independent wealth	Jun 18, 2026	n/a	yes	Old Saybrook, CT	Current employment
SAYBROOK WEALTH GROUP, INC.	Former SEC adviser	Jan 4, 2022	Jun 19, 2026	no	OLD SAYBROOK, CT	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Dec 31, 2021	no	OLD SAYBROOK, CT\|OLD SAYBROOK, CT\|Old Saybrook, CT	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Dec 17, 2007	Jan 2, 2009	no	Old Saybrook, CT	Previous registration
UBS FINANCIAL SERVICES INC.	Wirehouse	Oct 4, 2000	Dec 17, 2007	no	NEW HAVEN, CT\|NEW HAVEN, CT	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
SAYBROOK WEALTH GROUP, INC.	MAI CAPITAL MANAGEMENT, LLC	Jun 19, 2026	Jun 18, 2026	-1	Firm change	RIA to RIA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	SAYBROOK WEALTH GROUP, INC.	Dec 31, 2021	Jan 4, 2022	4	Firm change	Ibd to new firm
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
UBS FINANCIAL SERVICES INC.	RAYMOND JAMES FINANCIAL SERVICES, INC.	Dec 17, 2007	Dec 17, 2007	0	Firm change	Other

Relationships

Registered with (5)

→ MAI CAPITAL MANAGEMENT, LLCRegistered adviserregistration: current employment
Jun 18, 2026 to presentfactForm ADV
→ SAYBROOK WEALTH GROUP, INC.Registered adviserregistration: previous registration
Jan 4, 2022 to Jun 19, 2026factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Dec 31, 2021factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Dec 17, 2007 to Jan 2, 2009factForm ADV
→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: previous registration
Oct 4, 2000 to Dec 17, 2007factForm ADV

Dated events

Occurred
Jun 19, 2026
Advisor changed firm
Stephen Ernest Norton left Saybrook Wealth Group, Inc. for Mai Capital Management, Llc (registered 2026-06-18)
Form ADVobserved 5 days ago