James Richard Mertz
CFP®Professional Summary
James Richard Mertz, CFP® is a registered financial advisor currently at FOCUS FINANCIAL located in Bloomington, Minnesota and OSAIC WEALTH, INC. located in Bloomington, Minnesota. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. James has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 and Series 6 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Services Offered
- Retirement Planning
- Estate Planning
- Comprehensive Financial Planning
- Investment Planning
- Tax Planning
- Insurance Planning
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
Direct
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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Disclosures on record.
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.
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Credentials
Years of Experience
45 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
AFC FINANCIAL ADVISORY GROUP | THE BASBALLE GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES, INC. | MCMURRAY WHITNEY FINANCIAL | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
Contact Information
Main Address
1300 Godward Street Ne Suite 5500, Minneapolis, MN 55413Phone Number
(651) 631-8166# of Employees
189SEC notice filing (47 States and Territories)
Registered to provide investment advisory services in 47 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
27,510AUM (Assets Under Management)
$6,823,756,233Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/06/2026 | Cover Page | Report |
| 01/16/2025 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
AFC FINANCIAL ADVISORY GROUP | THE BASBALLE GROUP | MOSER & HEIER FINANCIAL SOLUTIONS | MERTZ WEALTH STRATEGIES, INC. | MCMURRAY WHITNEY FINANCIAL | KMF ADVISORS | FOCUS FINANCIAL NETWORK, INC. | FOCUS FINANCIAL | FDI INCORPORATED/FINANCIAL DESIGNS | BROOKLANDS
State Registrations and Notice Filings
(1/12/2024)
(1/12/2024)
(1/12/2024)
(1/12/2024)
(1/12/2024)
(1/12/2024)
(1/12/2024)
(8/13/2024)
(2/25/2026)
(1/24/2024)
(6/1/2026)
(1/12/2024)
(1/5/2026)
(1/12/2024)
(1/12/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 22 — Direct Participation Programs Representative Examination
Passed Jul 1983About the Series 22 examSeries 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jul 1981About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Richard Mertz's CRS (Customer Relationship Summary).
Services Offered by James
- Retirement Planning
- Estate Planning
- Comprehensive Financial Planning
- Investment Planning
- Tax Planning
- Insurance Planning
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