0000215674-23-000003.txt : 20230214 0000215674-23-000003.hdr.sgml : 20230214 20230214113232 ACCESSION NUMBER: 0000215674-23-000003 CONFORMED SUBMISSION TYPE: MA-I/A PUBLIC DOCUMENT COUNT: 1 NORRIS,ROGER,ALLAN, FILED AS OF DATE: 20230213 DATE AS OF CHANGE: 20230214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: COLLIERS SECURITIES LLC CENTRAL INDEX KEY: 0000215674 IRS NUMBER: 411883794 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I/A SEC ACT: 1934 Act SEC FILE NUMBER: 868-04261 FILM NUMBER: 23624819 BUSINESS ADDRESS: STREET 1: 90 SOUTH SEVENTH STREET STREET 2: SUITE 4300 CITY: MINNEAPOLIS STATE: MN ZIP: 55402-4108 BUSINESS PHONE: 612-376-4060 MAIL ADDRESS: STREET 1: 90 SOUTH SEVENTH STREET STREET 2: SUITE 4300 CITY: MINNEAPOLIS STATE: MN ZIP: 55402-4108 FORMER COMPANY: FORMER CONFORMED NAME: DOUGHERTY & COMPANY LLC DATE OF NAME CHANGE: 20200306 FORMER COMPANY: FORMER CONFORMED NAME: DOUGHERTY & Co LLC DATE OF NAME CHANGE: 20200225 FORMER COMPANY: FORMER CONFORMED NAME: DOUGHERTY & COMPANY LLC DATE OF NAME CHANGE: 20020309 MA-I/A 1 primary_doc.xml MA-I/A 0000215674 XXXXXXXX Lora Herman 612-376-4058 Lora.Herman@colliers.com N 0000215674-20-000030 N Roger Allan Norris 2201413 Y 1 0000215674 COLLIERS SECURITIES LLC 02-28-2014 Y 867-01216 LOCATED 02-28-2014 90 SOUTH SEVENTH ST-STE 4300 MINNEAPOLIS MN 55402-4108 SUPERVISED 02-28-2014 90 South Seventh Street Suite 4300 Minneapolis MN 55402 Roddy A Norris 02-2014 COLLIERS SECURITIES LLC Minneapolis MN 55402 Y Y SVP, Chief Compliance Officer 12-2009 02-2014 Oppenheimer & Co. Minneapolis MN 55402 Y Y Branch Manager Y 10-2001 Roger Norris & C Van Hoven TTEE George M Norris Trust U/A 10/01/01 FBO William Norris 2172 Ann Arbor Street St. Paul MN 55104 N Y Trust Account Trustee 1 Administers Assets of Trust 10-2001 Constance Van Hoven Roger Norris TTE WIlliam C Norris trust U/A 10/1/01 2172 Ann Arbor Street St. Paul MN 55104 N Y Trust Account Trustee 1 Administers Assets of Trust 10-2001 C Van Hoven, R Norris TTE WIlliam C Norris trust U/A 10/1/01 FBO Daniel G. Norris 21742 Ann Arbor Street St. Paul MN 55104 N Y Trust Account Trustee 1 Administers Assets of Trust 01-2020 Self/Author 2172 Ann Arbor Street St. Paul MN 55104 N N Author of novel Author/self 0 Author of novel currently seeking a publisher 09-2020 Norris Innovation Center 2172 Ann Arbor Street St. Paul MN 55104 N N Build a digital warehouse to preserve family legacy Director 4 Help identify and upload content of materials to the digital warehouse N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 02-13-2023 Tom Steichen EVP, CCO & General Counsel