Lori S. O'connor

NORTHROCK PARTNERS

Minneapolis, MN 55402

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CRD#: 4136080

Professional summary

Lori Suzanne O'connor, who also goes by Lori Suzanne Johnson, is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in Minneapolis, Minnesota.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Lori Suzanne Johnson

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 Lori Suzanne O'connor'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

June 30, 2021 - Present

NORTHROCK PARTNERS, LLC

Office #1: 225 South Sixth Street Suite 1400, Minneapolis, MN 55402

RIA

CRD#: 167908

Minneapolis, MN

Past

October 17, 2013 - July 17, 2015

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

MINNEAPOLIS, MN

Past

June 1, 2005 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 1, 2005 - October 24, 2013

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

March 10, 2000 - September 2, 2003

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

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

Minnesota
(6/30/2021)

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.

Exams

State Security Law Exam

Series 63

Date: 3/23/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/17/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/9/2000

General Securities Representative Examination

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)

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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)

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 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	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.

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Advisor Monitoring

Firm Stability Insights

Lori S. O'connor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lori Suzanne O'connor's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

NORTHROCK PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/23/2000

SIE

Date: 7/17/2015

Series 7

Date: 3/9/2000

Current Firm

NORTHROCK PARTNERS, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTHROCK PARTNERS, LLC

TRUST BUT VERIFY

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