SVP, Registered Options Principal · Colliers Securities LLC
Roger Allan Norris
CRD 2201413 · Named on Form ADV at one SEC-registered adviser
At a glance
Colliers Securities LLC, an SEC-registered broker-dealer firm based in Minneapolis, MN with $330 million in regulatory assets, lists Roger Allan Norris on its Form ADV as SVP, Registered Options Principal.
Firms and roles
- Colliers Securities LLCSVP, Registered Options PrincipalBroker-dealer firm · Minneapolis, MN · $330M in regulatory assets
AtlasMembers
Roger’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at the firm
- Locked
- Control-person status
- Locked
- When each role began
- Locked
- Each firm’s assets and growth
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- Search and export owners by title, state and firm size
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Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2022 (4 years)
- Designations
- None on file
- Exams
- Series 63, Series 65, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Roger’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- Locked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (8)
- Deborah Marie HableOperations Manager, Colliers Securities LLC
- David Bramley JuranChairman of the Board, Colliers Securities LLC
- Jeffrey Duane JacobsonEVP, Chief Operating Officer & Board Member, Colliers Securities LLC
- David Thomas MullenEVP, Board Member, Colliers Securities LLC
- Thomas Francis SteichenEVP, CCO & General Counsel, Board Member, Colliers Securities LLC
3 more people named with Roger on the same filings, with titles and firms. Free in Atlas with a free account.
See all 8 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Roger’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.