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Georgia Rallis

Northrock Investments, Pllc

Tucson, AZ

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Current Employers
Northrock Investments, Pllc

Tucson, AZ • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2019-12-16
  • AZ RA
    APPROVED
    Since 2019-12-16

Branch Locations

Tucson, AZ • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Oro Valley AZ 05/2010 01/2017
Bank Of America, N.A. Oro Valley AZ 06/2015 01/2017
Kestra Financial, Inc. Tucson AZ 01/2017 12/2019
Northrock Investments, Pllc Tucson AZ 12/2019 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-05-04
S63 Uniform Securities Agent State Law Examination 1991-02-26
  • S66 Uniform Combined State Law Examination
    2015-05-04
  • S63 Uniform Securities Agent State Law Examination
    1991-02-26

View on SEC IAPD

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