Karen M. Bothe
NORTHROCK PARTNERS | Financial Advisor
Roseville, CA 95661-4271
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CRD#: 6230334
Professional summary
Karen Marie Bothe, AIF®, CFP®, who also goes by Karen Marie Peck, is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in Roseville, California.
Karen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Karen has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Planning Strategies
Business Retirement Plans
Investments
Are you a "fiduciary"?
Yes
Aliases
Karen Marie Peck
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.
Outside Employment; Families for Early Autism Treatment, Inc.; Programs Assistant; Sacramento, CA 95865; Not Investment Related; Dec 2009; 10-19 hours per month; 0 during trading hours. Fiduciary Activities; Named or act in a fiduciary capacity; such as attorney-in-fact, trustee, conservator, guardian, executor or personal representative.
CRS (Client Relationship Summary) - RIA
Click below to view Karen Marie Bothe's 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®
Experience
Current
July 10, 2025 - Present
NORTHROCK PARTNERS, LLC
Office #1: 3741 Douglas Blvd Suite 290, Roseville, CA 95661-4271RIA
CRD#: 167908
Roseville, CA
Past
October 28, 2015 - July 15, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Roseville, CA
Past
April 20, 2015 - July 15, 2025
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Roseville, CA
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
California(7/10/2025)
IAR
Texas(7/10/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
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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)
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
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Company Information
NORTHROCK PARTNERS, LLC
Financial AdvisorCRD#: 167908Roseville, CA 95661-4271TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
