Rocky Joe Norris

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 10/2015 → 11/2020
  Ameriprise Financial Services, Inc.
  Portland, OR
• 11/2020 → Present
  Lpl Financial Llc
  Beaverton, OR

Previous Registrations

• 2015-11-06 → 2020-11-13
  Ameriprise Financial Services, Llc
  Portland, OR
• 2009-08-20 → 2015-11-11
  Wells Fargo Clearing Services, Llc
  Portland, OR
  Portland, OR
  Portland, OR
• 2006-02-08 → 2009-02-12
  Citigroup Global Markets Inc.
  Portland, OR
• 2003-08-22 → 2006-01-19
  Rbc Capital Markets, Llc
  Portland, OR

Other Businesses

1)10/13/2020 - G2G Financial - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 11/2020 2)10/12/2020 - Generation to Generation Financial - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 11/2020 3)10/13/2020 - Non-Variable Insurance - inv rel - at reported business location(s) - start: 11/2020 - 1 hr/mth 4)10/13/2020 - POA - Trustee for a family trust - inv rel - Portland, OR - start: 03/2016 5)10/13/2020 - King Cootie Coins - Business Owner Buy/sell coins on ebay - non-inv rel - Portland, OR - start: 09/2020 - 9 hr/mth 6)10/13/2020 - RJ Norris LLC - Business Entity For Tax/Investment Purposes Only - non-inv rel - Portland, OR - start: 209/2020 - 1 hr/mth

Exams

• S65 Uniform Investment Adviser Law Examination
  1993-05-04
• S63 Uniform Securities Agent State Law Examination
  1984-05-29

Other Names

• R J Norris
• Rocky Joe Norris