Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Norris is a financial advisor who is registered with Colliers Securities LLC. Roger has been in the industry since February 26, 1992, and has experience working with a variety of clients, including high-net-worth individuals, corporations or other businesses, and individuals other than high-net-worth. Roger has a diverse set of qualifications and experience, including several designations, exams and registrations across various states.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
MN
03/21/2022 - Present
Colliers Securities LLC (MINNEAPOLIS MN)
MN
12/03/2009 - 03/03/2014
OPPENHEIMER & CO. INC. (MINNEAPOLIS MN)
MN
08/12/2006 - 10/28/2009
UBS FINANCIAL SERVICES INC. (ST PAUL MN)
MN
01/23/1992 - 08/12/2006
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
BOTH
Issued 03/21/2022
Series 66 - Uniform Combined State Law Examination
IA
Issued 04/03/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/1992
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 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 02/14/2020
Series 54 - Municipal Advisor Principal Qualification Examination
BC
Issued 06/07/2018
Series 53 - Municipal Securities Principal Examination
BC
Issued 11/07/2017
Series 24 - General Securities Principal Examination
BC
Issued 06/03/2014
Series 4 - Registered Options Principal Examination
BC
Issued 04/28/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 08/01/2022
Series 16 - NYSE Supervisory Analyst Examination
BC
Issued 01/21/2020
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/11/2013
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 02/26/2004
Series 3 - National Commodity Futures Examination
BC
Issued 01/22/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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