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Current Employers
Northrock Partners, Llc

225 South Sixth Street Suite 1400, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-07-14
TX RA APPROVED_RES 2025-07-11
  • CA RA
    APPROVED
    Since 2025-07-14
  • TX RA
    APPROVED_RES
    Since 2025-07-11

Branch Locations

225 South Sixth Street Suite 1400, Minneapolis, MN 55402 • United States

3741 Douglas Blvd Suite 290, Roseville, CA 95661 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Granite Bay CA 10/2012 03/2020
Ameriprise Financial Services, Llc Roseville CA 03/2020 Present
Northrock Partners Roseville CA 07/2025 Present
  • 10/2012 → 03/2020
    Ameriprise Financial Services, Inc.
    Granite Bay, CA
  • 03/2020 → Present
    Roseville, CA
  • 07/2025 → Present
    Northrock Partners
    Roseville, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-02-19
S63 Uniform Securities Agent State Law Examination 2001-01-05
  • S65 Uniform Investment Adviser Law Examination
    2013-02-19
  • S63 Uniform Securities Agent State Law Examination
    2001-01-05
Other Names
  • Carolyn Jeannette Fox
  • Carolyn Jeannette Lamb
  • Carolynn Jeannette Lamb
  • Carolynn Jeannette Fellman

View on SEC IAPD

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