Georgia Rallis

NORTHROCK INVESTMENTS, PLLC

Tucson, AZ

Some features on this profile are disabled

CRD#: 2064563

Professional summary

Georgia Rallis is a registered financial advisor currently at NORTHROCK INVESTMENTS, PLLC located in Tucson, Arizona.

Georgia is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Georgia has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Georgia Rallis'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®

None

Experience

Current

December 16, 2019 - Present

NORTHROCK INVESTMENTS, PLLC

RIA

CRD#: 306398

Tucson, AZ

Past

January 17, 2017 - December 18, 2019

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

TUCSON, AZ

Past

January 17, 2017 - December 18, 2019

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

TUCSON, AZ

Past

May 5, 2015 - January 18, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TUCSON, AZ

Past

March 25, 2015 - January 18, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TUCSON, AZ

Past

September 7, 1995 - September 10, 1996

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

August 6, 1990 - April 5, 1994

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

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

Arizona
(12/16/2019)

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

IAR

Series 66

Date: 5/4/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/26/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/25/2015

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/3/1990

Investment Company Products/Variable Contracts Representative Examination

Current Firm

NORTHROCK INVESTMENTS, PLLC

CRD#: 306398 / SEC#:

Arizona

Registered Investment Advisory firm - (12/16/2019 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Tucson, AZ

Mailing Address

Phone number

(520) 861-5378

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	118
AUM (Assets Under Management)	$ 22,789,085

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Georgia Rallis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Georgia Rallis's CRS (Customer Relationship Summary).

Certified licenses

Experience

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 5/4/2015

Series 63

Date: 2/26/1991

SIE

Date: 10/1/2018

Series 7

Date: 3/25/2015

Series 6

Date: 8/3/1990

Current Firm

NORTHROCK INVESTMENTS, PLLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NORTHROCK INVESTMENTS, PLLC

TRUST BUT VERIFY

Similar Advisors