Rocky Norris
Rocky Norris is a registered investment advisor at LPL Financial LLC, based in Tualatin, OR, with 42 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Tualatin, OR
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Rocky operates under the DBAs G2G Financial and Generation to Generation Financial for his LPL business. He also engages in non-variable insurance activities, acts as a trustee for a family trust, buys and sells coins on eBay, and owns RJ Norris LLC for tax/investment purposes.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Ameriprise Financial Services, LLCBroker
Ameriprise Financial Services, LLC.
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
RBC Dain Rauscher INC.
RBC Dain Rauscher INC.Broker
Sutro & CO. IncorporatedBroker
Charter Investment Group, INC.Broker
Dain Rauscher IncorporatedBroker
Dain Rauscher IncorporatedBroker
Prudential Securities IncorporatedBroker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.