Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rocky? Claim Your ProfileRocky Norris is a financial advisor with LPL Financial LLC. Rocky has been in the financial industry since 1984 and has a wide range of experience. Rocky offers a variety of financial services including financial planning, portfolio management, and consulting. Rocky has been registered with the state of Oregon since 2020.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OR
11/17/2020 - Present
LPL Financial LLC (TUALATIN OR)
OR
11/06/2015 - 11/13/2020
AMERIPRISE FINANCIAL SERVICES, LLC (Portland OR)
OR
01/23/2009 - 11/11/2015
WELLS FARGO ADVISORS, LLC (PORTLAND OR)
OR
01/06/2006 - 02/12/2009
CITIGROUP GLOBAL MARKETS INC. (PORTLAND OR)
NY
03/09/2002 - 01/19/2006
RBC DAIN RAUSCHER INC. (NEW YORK NY)
CA
01/29/1999 - 03/09/2002
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
OR
04/30/1998 - 02/08/1999
CHARTER INVESTMENT GROUP, INC. (PORTLAND OR)
NY
03/02/1998 - 10/09/1998
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
11/28/1994 - 03/02/1998
DAIN RAUSCHER INCORPORATED
NY
03/22/1984 - 12/03/1994
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 05/04/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/29/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/27/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/2000
Series 3 - National Commodity Futures Examination
BC
Issued 03/17/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Rocky Norris is the right advisor for you? Invested Better is here to help.
