Ward D. Armstrong

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CRD#: 1149409

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Ward Douglas Armstrong was a registered financial professional .

Ward is a previously registered financial professional and started their career in finance in 1983. Ward had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 2 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 16, 2014 - August 18, 2015

NORTHROCK PARTNERS, LLC

RIA

CRD#: 167908

MINNEAPOLIS, MN

Past

October 17, 2013 - July 21, 2015

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

MINNEAPOLIS, MN

Past

December 2, 2009 - October 21, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

October 24, 1997 - January 22, 2002

AMERICAN EXPRESS SERVICE CORPORATION

CRD#: 10518

MINNEAPOLIS, MN

Past

July 26, 1988 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 26, 1988 - June 6, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

June 24, 1983 - October 7, 1987

AETNA FINANCIAL SERVICES, INC.

CRD#: 13255

Past

June 19, 1983 - September 19, 1987

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHROCK PARTNERS, LLC

3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA

Registered Investment Advisory firm - (6/13/2013 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/2/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/21/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/1988

General Securities Representative Examination

General Industry/Product Exam

Series 2

Date: 4/7/1978

Non-Member General Securities Examination

Principal/Supervisory Exam

Series 24

Date: 10/26/1993

General Securities Principal Examination

Current Firm

NORTHROCK PARTNERS, LLC

3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA

Registered Investment Advisory firm - (6/13/2013 Approved)

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Contact information

Main Address

225 South Sixth Street Suite 1400, Minneapolis, MN 55402

Mailing Address

Phone number

(612) 367-8800

Established

Firm type

Fiscal year end

# of Employees

161

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHROCK PARTNERS ADV 2A BROCHURE (7/10/2025)

NORTHROCK PARTNERS WRAP BROCHURE MARCH 2024 (2/26/2025)

Regulatory assets under management

Total Number of Accounts	12,834
AUM (Assets Under Management)	$ 6,596,242,797

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2025	Cover Page	Report
11/05/2024	Cover Page	Report
01/29/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Ward D. Armstrong

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

AMERIPRISE FINANCIAL SERVICES, LLC

AMERICAN EXPRESS SERVICE CORPORATION

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

AETNA FINANCIAL SERVICES, INC.

AETNA LIFE INSURANCE AND ANNUITY COMPANY

Primary Firm SEC Registration

NORTHROCK PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/2/1988

SIE

Date: 7/21/2015

Series 7

Date: 7/16/1988

Series 2

Date: 4/7/1978

Series 24

Date: 10/26/1993

Current Firm

NORTHROCK PARTNERS, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTHROCK PARTNERS, LLC

TRUST BUT VERIFY

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