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AN

Alisha M. Norris

CX INSTITUTIONAL
Auburn, IN 46706
Some features on this profile are disabled
CRD#: 5367656
AN

Professional summary

Alisha Marie Norris, who also goes by Alisha Marie Etzler, Alisha Etzler, is a registered financial advisor currently at CX INSTITUTIONAL, LLC located in Auburn, Indiana.

Alisha is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Alisha has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Alisha Marie Etzler | Alisha Etzler

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.
Junior Achievement of Northern Indiana - Yes, investment-related - 550 E Wallen Road, Fort Wayne, IN 46825 The organization promotes financial literacy and entrepreneurship to young people in the community. Alisha Norris will serve as committee member for the JA Foundation Investment Committee Start date 10/01/2023 Approximately 1 hour per month, exclusively outside of securities trading hours Community Foundation of Greater Fort Wayne - Yes, investment related 555 East Wayne Street, Fort Wayne, IN 46802 The Community Foundation of Greater Fort Wayne is a tax-exempt, public grantmaking charity dedicated to improving the lives of everyone in the greater Fort Wayne community. Alisha Norris is a member of the Investment Committee. Start date is 07/10/2024. Approximately 1 hour per month, exclusively outside of securities trading hours Alisha Norris duties entail establishment of polices and direction for the implementation of the investment program of the assets of the Community Foundation.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alisha Marie 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

February 23, 2022 - Present

CX INSTITUTIONAL, LLC

Office #1: 200 East 7th Street, Auburn, IN 46706
RIA
CRD#: 292627
Auburn, IN
Past

October 11, 2013 - February 22, 2022

LPL FINANCIAL LLC

RIA
CRD#: 6413
KENDALLVILLE, IN
Past

October 11, 2013 - February 22, 2022

LPL FINANCIAL LLC

BD
CRD#: 6413
KENDALLVILLE, IN
Past

December 4, 2012 - July 10, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
FORT WAYNE, IN
Past

December 4, 2012 - July 10, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
FORT WAYNE, IN
Past

October 24, 2011 - December 5, 2012

CETERA INVESTMENT SERVICES LLC

RIA
CRD#: 15340
FORT WAYNE, IN
Past

October 24, 2011 - December 5, 2012

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
FORT WAYNE, IN
Past

August 4, 2009 - November 27, 2009

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
PLYMOUTH, MI
Past

July 6, 2009 - November 27, 2009

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
PLYMOUTH, MI

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".
CI
CX INSTITUTIONAL, LLC
CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA
Registered Investment Advisory firm - (3/1/2018 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
Indiana
(2/23/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/31/2009
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: 7/3/2009
General Securities Representative Examination

Current Firm

CI
CX INSTITUTIONAL, LLC
CREDENT WEALTH MANAGEMENT | CX WEALTH DIRECT | CX INSTITUTIONAL, LLC

CRD#: 292627 / SEC#: 801-112742

RIA
Registered Investment Advisory firm - (3/1/2018 Approved)
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Contact information

Main Address
200 East 7th Street, Auburn, IN 46706
Mailing Address
Phone number
(260) 927-1830
Established
Firm type
Fiscal year end
# of Employees
106

SEC notice filing (42 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

WRAP FEE BROCHURE (10/14/2025)
ADV PART 2A (10/14/2025)

Regulatory assets under management

Total Number of Accounts14,284
AUM (Assets Under Management)$ 4,121,239,331

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

CX INSTITUTIONAL, LLC

CRD#: 292627Auburn, IN 46706

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