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Courtney Elizabeth Horn

Courtney E. Horn

NORTHROCK PARTNERS | Financial Advisor
San Fransico, CA 94111
Some features on this profile are disabled
CRD#: 4355738
Courtney Elizabeth Horn

Professional summary

Courtney Elizabeth Horn is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in San Fransico, California.

Courtney is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Courtney has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

What are your service offerings?
Retirement Planning Strategies
Investments
Women's Financial 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.
Board of Directors; Local Animal Charities of America; president; #340 Larkspur, CA 94939; September 2011; 1-9 hours per month; 1-9 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Courtney Elizabeth Horn'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

October 27, 2023 - Present

NORTHROCK PARTNERS, LLC

Office #1: 432 Clay Street, San Fransico, CA 94111
RIA
CRD#: 167908
San Fransico, CA
Past

August 19, 2008 - November 1, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
SAN RAFAEL, CA
Past

August 19, 2008 - November 1, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
SAN RAFAEL, CA
Past

June 26, 2007 - August 4, 2008

BLACKROCK EXECUTION SERVICES

BD
CRD#: 39438
SAN FRANCISCO, CA
Past

June 21, 2007 - August 4, 2008

BLACKROCK FUND ADVISORS

RIA
CRD#: 105247
SAN FRANCISCO, CA
Past

July 20, 2005 - May 16, 2006

CREDIT SUISSE SECURITIES (USA) LLC

RIA
CRD#: 816
SAN FRANCISCO, CA
Past

July 20, 2005 - May 16, 2006

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

February 18, 2002 - July 12, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

February 18, 2002 - July 12, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
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".
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
(10/27/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/12/2002
Uniform Combined 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: 2/14/2002
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)
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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)

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

Financial AdvisorCRD#: 167908San Fransico, CA 94111

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx

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