Alison B. Diessner
Professional summary
Alison Bowe Diessner, who also goes by Alison Dinneen Bowe, Alison Bowe, is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in San Fransico, California.
Alison is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Alison has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Alison Bowe Diessner's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 27, 2023 - Present
NORTHROCK PARTNERS, LLC
Office #1: 432 Clay Street, San Fransico, CA 94111September 13, 2022 - October 31, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
July 25, 2022 - October 31, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
January 3, 2012 - February 21, 2012
BLACKROCK INVESTMENTS, LLC
November 5, 2009 - December 31, 2011
BLACKROCK FUND DISTRIBUTION COMPANY
December 7, 2005 - December 31, 2009
BLACKROCK EXECUTION SERVICES
March 17, 2003 - November 18, 2005
SANFORD C. BERNSTEIN & CO., LLC
Primary Firm SEC Registration
NORTHROCK PARTNERS, LLC
CRD#: 167908 / SEC#: 801-78194
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(10/27/2023)
Exams
Series 7TO
Date: 7/25/2022
General Securities Representative ExaminationCurrent Firm
NORTHROCK PARTNERS, LLC
CRD#: 167908 / SEC#: 801-78194
Contact information
SEC notice filing (40 States and Territories)
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 | ||
| 11/05/2024 | ||
| 01/29/2024 |
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
Financial AdvisorCRD#: 167908San Fransico, CA 94111TRUST BUT VERIFY
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