AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
CF

Carolynn J. Fellman

NORTHROCK PARTNERS
ROSEVILLE, CA 95661
Some features on this profile are disabled
CRD#: 2411320
CF

Professional summary

Carolynn Jeannette Fellman, who also goes by Carolynn Jeannette Fellman, Carolyn Jeannette Fox, Carolyn Jeannette Lamb, Carolynn Jeannette Lamb, is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in Roseville, California.

Carolynn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Carolynn has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carolynn Jeannette Fellman | Carolyn Jeannette Fox | Carolyn Jeannette Lamb | Carolynn Jeannette Lamb

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 Carolynn Jeannette Fellman'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

July 11, 2025 - Present

NORTHROCK PARTNERS, LLC

Office #1: 3741 Douglas Blvd Suite 290, Roseville, CA 95661
RIA
CRD#: 167908
ROSEVILLE, CA
Past

February 20, 2013 - July 14, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Roseville, CA
Past

December 4, 2012 - July 14, 2025

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Roseville, CA
Past

April 9, 2007 - April 18, 2011

WEDBUSH SECURITIES INC.

BD
CRD#: 877
ROSEVILLE, CA
Past

June 24, 2004 - April 26, 2007

PENSION PLANNERS SECURITIES, INC.

BD
CRD#: 14068
SACRAMENTO, CA
Past

January 28, 2000 - June 9, 2004

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

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
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
(7/14/2025)
IAR
Texas
(7/11/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/19/2013
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 1/5/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/27/2000
General Securities Representative Examination

Current Firm

NORTHROCK PARTNERS, LLC
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
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
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts12,834
AUM (Assets Under Management)$ 6,596,242,797

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

NORTHROCK PARTNERS, LLC

NORTHROCK PARTNERS, LLC

CRD#: 167908Roseville, CA 95661

TRUST BUT VERIFY

Monitor Carolynn Fellman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Jesus Martinez Zepeda
Jesus ZepedaAdvisorCheck Check Mark
PFS INVESTMENTS INC.
RR
SACRAMENTO, CA
KC
Kenneth ChristieAdvisorCheck Check Mark
SPECTRUM WEALTH ADVISORY GROUP, LLC
IAR
RR
Granite Bay, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.