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Rachel Edith Smith

Northrock Partners, LLC

Appleton, WI

Minneapolis, MN

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Current Employers
Northrock Partners, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2022-02-04
  • WI RA
    APPROVED
    Since 2022-02-04

Branch Locations

4915 West Grande Market Drive, Appleton, WI 54913 • United States

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Securities America Inc New Ulm MN 08/2013 07/2017
Securities America Advisors New Ulm MN 05/2016 07/2017
Ameriprise Financial Services Inc New Ulm MN 07/2017 11/2020
Rbc Capital Markets, Llc Appleton WI 11/2020 01/2022
Northrock Partners Appleton WI 02/2022 Present
  • 08/2013 → 07/2017
    Securities America Inc
    New Ulm, MN
  • 05/2016 → 07/2017
    Securities America Advisors
    New Ulm, MN
  • 07/2017 → 11/2020
    Ameriprise Financial Services Inc
    New Ulm, MN
  • 11/2020 → 01/2022
    Rbc Capital Markets, Llc
    Appleton, WI
  • 02/2022 → Present
    Northrock Partners
    Appleton, WI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-05-16
  • S66 Uniform Combined State Law Examination
    2016-05-16
Other Names
  • Rachel Edith Mattek

View on SEC IAPD

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MORGAN STANLEY · APPLETON, WI
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WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · APPLETON, WI
KAMKO FINANCIAL · APPLETON, WI
ASC 401(K) MANAGEMENT · APPLETON, WI
STIFEL, NICOLAUS & COMPANY, INCORPORATED · APPLETON, WI
CREATIVEONE SECURITIES, LLC · Appleton, WI
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