Roger A. Norris

COLLIERS SECURITIES LLC

Minneapolis, MN 55402

Some features on this profile are disabled

CRD#: 2201413

Professional summary

Roger Allan Norris, who also goes by Roddy Norris, is a registered financial advisor currently at COLLIERS SECURITIES LLC located in Minneapolis, Minnesota.

Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Roger has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 52TO, Series 99TO, Series 16, Series 50, SIE, Series 79, Series 3, Series 7, Series 9, Series 10, Series 14, Series 54, Series 53, Series 24, Series 4 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Roddy Norris

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.

1)Roger Norris & C Van Hoven TTEE George M Norris Trust U/A 10/1/01 FBO William Norris; Investment Related; St Paul MN; Trust Acct; Trustee; 10/2001; 1 Hr/month; Administers Assets of Trust. 2)Constance Van Hoven Roger Norris TTE William C Norris Trust U/A 10/1/01; Investment Related; St Paul MN; Trust Acct; Trustee; 10/2001; 1 hr/month; Administers Assets of Trust. 3)C Van Hoven, R Norris TTE William C Norris Trust U/A 10/1/01 FBO Daniel G Norris; Investment Related; St Paul MN; Trust Acct; Trustee; 10/2001; 1 hr/month; Administers Assets of Trust. 4) Self/Author; not investment related; primary residence; author of a novel currently seeking a publisher; no time devoted to activity during business hours 5) Norris Innovation Center; non Investment related; St. Paul, MN; build a digital warehouse to preserve family legacy; Director; September 2020; approximately 4-6 non business hours per month; help identify and upload content of materials to the digital warehouse. 5) Self; not investment related; St. Paul, MN; Develop app for children regarding investments; Owner; June 2025; no time devoted to this activity; creator of app

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Allan Norris's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Roger Allan Norris's CRS (Customer Relationship Summary).

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

March 21, 2022 - Present

COLLIERS SECURITIES LLC

Office #1: 90 South Seventh Street, Suite 4300, Minneapolis, MN 55402

RIA

CRD#: 7477

Minneapolis, MN

Current

February 28, 2014 - Present

COLLIERS SECURITIES LLC

Office #1: 90 South Seventh Street, Suite 4300, Minneapolis, MN 55402

RIA

CRD#: 7477

Minneapolis, MN

Past

December 3, 2009 - March 3, 2014

OPPENHEIMER & CO. INC.

CRD#: 249

MINNEAPOLIS, MN

Past

August 12, 2006 - October 28, 2009

UBS FINANCIAL SERVICES INC.

CRD#: 8174

ST PAUL, MN

Past

January 23, 1992 - August 12, 2006

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

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".

COLLIERS SECURITIES LLC

CRD#: 7477 / SEC#: 801-80233, 8-21937

RIA

Registered Investment Advisory firm - SEC (9/25/2014 Approved)

Arizona

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

California

Registered Investment Advisory firm - SEC (10/20/2014 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Iowa

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (10/13/2014 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/25/2021)

Alaska
(1/25/2021)

Arizona
(1/5/2015)

Arkansas
(1/25/2021)

California
(1/5/2015)

Colorado
(11/25/2014)

Connecticut
(1/5/2015)

Delaware
(1/2/2025)

Florida
(1/5/2015)

Georgia
(1/25/2021)

Idaho
(7/28/2015)

Illinois
(1/5/2015)

Indiana
(2/28/2014)

Iowa
(12/3/2014)

Kansas
(1/5/2015)

Kentucky
(1/6/2016)

Maine
(1/25/2021)

Maryland
(12/3/2014)

Massachusetts
(11/24/2014)

Michigan
(2/28/2014)

Minnesota
(2/28/2014)

IAR

Minnesota
(3/21/2022)

Missouri
(4/8/2014)

Montana
(2/28/2014)

Nebraska
(1/5/2015)

Nevada
(1/25/2021)

New Hampshire
(1/2/2025)

New Jersey
(1/5/2015)

New Mexico
(1/6/2016)

New York
(11/24/2014)

North Carolina
(1/25/2021)

North Dakota
(10/7/2015)

Ohio
(1/5/2015)

Oklahoma
(12/3/2014)

Oregon
(1/25/2021)

Pennsylvania
(1/5/2015)

Rhode Island
(1/19/2023)

South Carolina
(1/25/2021)

South Dakota
(12/8/2014)

Tennessee
(1/25/2021)

Texas
(1/5/2015)

Utah
(1/5/2015)

Virginia
(1/5/2015)

Washington
(1/5/2015)

Wisconsin
(2/28/2014)

Wyoming
(1/25/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Series 8

Date: 4/28/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

COLLIERS SECURITIES LLC

CRD#: 7477 / SEC#: 801-80233, 8-21937

RIA

Registered Investment Advisory firm - SEC (9/25/2014 Approved)

Arizona

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

California

Registered Investment Advisory firm - SEC (10/20/2014 Terminated)

Florida

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Iowa

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (10/13/2014 Terminated)

North Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

South Dakota

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Texas

Registered Investment Advisory firm - SEC (10/3/2014 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (10/6/2014 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108

Mailing Address

90 South Seventh Street Suite 4300, Minneapolis, MN 55402-4108

Phone number

(612) 376-4000

Established

Delaware since 08/19/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

120

SEC notice filing (15 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

COLLIERS SECURITIES LLC DISCLOSURE BROCHURE (3/26/2025)

Direct owners and executive officers

Name	Position	CRD#
COLLIERS MORTGAGE HOLDINGS LLC	DIRECT OWNER
HABLE, DEBORAH MARIE	OPERATIONS MANAGER	1596570
HINIKER, JAMES JOHN III	SVP	2148843
JACOBSON, JEFFREY DUANE	EVP, CHIEF OPERATING OFFICER & BOARD MEMBER	1976541
JOHNSON, MARK KENNETH	VP, BRANCH MANAGER, CHIEF SUPERVISION OFFICER	1433801
JURAN, DAVID BRAMLEY	CHAIRMAN OF THE BOARD	2166483
MULLEN, DAVID THOMAS	EVP, BOARD MEMBER	1273590
NORRIS, ROGER ALLAN	SVP, REGISTERED OPTIONS PRINCIPAL	2201413
STEICHEN, THOMAS FRANCIS	EVP, CCO & GENERAL COUNSEL, BOARD MEMBER	6920110
THEIS, CRAIG DANIEL	SVP, BOARD MEMBER	4365341
VAN HANDEL, REBECCA	CHIEF FINANCIAL OFFICER & FINOP	7558187

Regulatory assets under management

Total Number of Accounts	1,016
AUM (Assets Under Management)	$ 280,660,825

Disclosures

Regulatory Event	25
Arbitration	10

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Roger A. Norris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Roger Allan Norris's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Roger Allan Norris's CRS (Customer Relationship Summary).

Certified licenses

Experience

COLLIERS SECURITIES LLC

OPPENHEIMER & CO. INC.

UBS FINANCIAL SERVICES INC.

PIPER SANDLER & CO.

Primary Firm SEC Registration

COLLIERS SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/21/2022

Series 65

Date: 4/3/2000

Series 63

Date: 1/29/1992

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

Series 16

Date: 8/1/2022

Series 50

Date: 1/21/2020

SIE

Date: 10/1/2018

Series 79

Date: 2/11/2013

Series 3

Date: 2/26/2004

Series 7

Date: 1/22/1992

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 14

Date: 1/2/2023

Series 54

Date: 2/14/2020

Series 53

Date: 6/7/2018

Series 24

Date: 11/7/2017

Series 4

Date: 6/3/2014

Series 8

Date: 4/28/1997

FINRA

Nasdaq Stock Market

Current Firm

COLLIERS SECURITIES LLC

Contact information

SEC notice filing (15 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

COLLIERS SECURITIES LLC

TRUST BUT VERIFY

Contact information

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