Stephen M. Westlake
NORTHROCK PARTNERS | Private Wealth Advisor
Carson City, NV
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CRD#: 1435643
Professional summary
Stephen Michael Westlake, CFP® is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in Carson City, Nevada.
Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Stephen has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Planning Strategies
Estate Planning Strategies
Wealth Preservation Strategies
Are you a "fiduciary"?
Yes
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.
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.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michael Westlake's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
July 10, 2025 - Present
NORTHROCK PARTNERS, LLC
RIA
CRD#: 167908
Carson City, NV
Past
September 13, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
December 15, 1997 - July 14, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Roseville, CA
Past
November 25, 1985 - July 14, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Roseville, CA
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
California(7/11/2025)
IAR
Nevada(7/17/2025)
IAR
Texas(7/10/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 11/05/2024 | ||
| 01/29/2024 |
Red Flags
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Company Information
NORTHROCK PARTNERS, LLC
Private Wealth AdvisorCRD#: 167908Carson City, NVTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
