James Broom (CRD# 2951595) is an Investment Advisor Representative working at Northstar Wealth Management, Inc. in Bloomington, MN and has over 26 years of experience in the finance industry.
CRD# 5074435
Lpl Financial LLC
CRD# 2968288
Rbc Capital Markets, LLC
CRD# 6576637
Ameriprise Financial Services, LLC
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Purshe Kaplan Sterling Investments | Albany, NY | Jul 2020 - Current | 3 |
| Northstar Wealth Management, Inc. | Bloomington, MN | Nov 2019 - Current | 4 |
| Triad Advisors | Norcross, GA | Dec 2017 - Jul 2020 | 2 |
| Triad Hybrid Solutions | Norcross, GA | Dec 2017 - Jul 2020 | 2 |
| Wells Fargo Advisors Financial Network LLC | Edina, MN | May 2009 - Dec 2017 | 8 |
| Wells Fargo Advisors Financial Network, LLC | St. Louis, MO | Jul 2004 - Dec 2017 | 13 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Nov 1997 |
| S65 | NASAA Investment Advisors Law Examination | May 1998 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, financial matters, and other matters required to be disclosed in which the advisor has been involved.
Get Details on the FINRA Advisor Check site- MN
- TX
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Total Assets Under Management67MILLIONS
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Total Number of Accounts215ACCOUNTS
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Average Account Value$310,775
- A percentage of assets under your management
- Hourly charges
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
MN, TX
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