Stephen Michael Westlake, CFP | Financial Professional | Carson City, Nevada

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Contact Information

Direct

(xxx) xxx-xxxx

linkedin.com/in/xxxxxx

Facebook

facebook.com/xxxxxx

Email

xxxxx@xxxx.xxx

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Disclosures on record.

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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Credentials

CFP®

Certified Financial Planner

Years of Experience

41 years registered in the securities industry

Current & Past Employments

Current

NORTHROCK PARTNERS, LLCCurrent·CRD# 167908

RIA

Carson City, NV

July 10, 2025 - Present

Past

AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363

RIA

Roseville, CA

December 15, 1997 - July 14, 2025

AMERIPRISE FINANCIAL SERVICES, LLCPast·CRD# 6363

BD

Roseville, CA

November 25, 1985 - July 14, 2025

IDS LIFE INSURANCE COMPANYPast·CRD# 6321

BD

Minneapolis, MN

September 13, 2000 - July 3, 2006

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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 - SEC (6/13/2013 Approved)

Contact Information

Main Address

225 South Sixth Street Suite 1400, Minneapolis, MN 55402

Phone Number

(612) 367-8800

# of Employees

233

SEC notice filing (40 States and Territories)

Registered to provide investment advisory services in 40 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NORTHROCK PARTNERS WRAP PROGRAM BROCHURE (9/18/2026)

NORTHROCK PARTNERS ADV 2A BROCHURE (9/18/2026)

Regulatory Assets Under Management

Total Number of Accounts

24,014

AUM (Assets Under Management)

$12,185,185,517

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

Business Ownership; SCB Ventures; owner; Provides managment and employee services to operate the Westlake, Grahl, and Glover financial planning business; 3741 Douglas Blvd, Suite 290, , Roseville, CA, 95661; Not Investment-Related; 08/01/2020; 10 to 19 hours per month; 0 during trading hours / SCB Business Solutions; Member; Legal entity created to facilitate business pllanning for small business owners and manage professional alliance relationships. As consultants we provide expertise to promote the alignment of ideas and concepts to the needs of the business owners. In addition, we manage professional alliance relationships through contractual efforts of Employshare.; 3741 Douglas Blvd, Suite 290, , Roseville, CA, 95661; Not Investment-Related; 10/01/2011; 1 to 9 hours per month; 1 to 9 during trading hours. Board of Directors; Keaton's Childhood Cancer Alliance; Executive Board Member; 2260 Douglas Blvd, Ste 150, , Roseville, CA, 95661; Not Investment-Related; 02/28/2014; 10 to 19 hours per month; 1 to 9 during trading hours. Outside Employment; SCB Ventures, LLC; Member - owner; ; 3741 Douglas Blvd, Ste 290, , Roseville, CA, 95661; Not Investment-Related; 08/01/2020; 10 to 19 hours per month; 0 during trading hours.

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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 - SEC (6/13/2013 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

IAR

California
(7/11/2025)

IAR

Nevada
(7/17/2025)

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.