Sandra N. Bromfield

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CRD#: 1280878

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Sandra Nmi Bromfield, CFP®, who also goes by Sandra N/m/n Bromfield, Sandra Bromfield, was a registered financial professional .

Sandra is a previously registered financial professional and started their career in finance in 1984. Sandra had worked at 6 firms and has passed the Series 65, Series 63, Series 7, Series 22, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Sandra N/m/n Bromfield | Sandra Bromfield

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Start date: 1987

Experience

Past

July 3, 2024 - January 2, 2026

MODERA WEALTH MANAGEMENT, LLC

RIA

CRD#: 155649

WESTWOOD, MA

Past

August 19, 2004 - July 12, 2024

BROMFIELD SNEIDER WEALTH ADVISORS, INC.

RIA

CRD#: 125623

WESTWOOD, MA

Past

December 11, 1992 - January 12, 2007

LPL FINANCIAL LLC

RIA

CRD#: 6413

CAMBRIDGE, MA

Past

December 16, 1989 - September 10, 2003

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

September 17, 1986 - December 16, 1989

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

June 27, 1984 - August 11, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

June 27, 1984 - August 12, 1986

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

MODERA WEALTH MANAGEMENT, LLC

MODERA ADVISORS OF CRYSTAL RIVER, LLC | MODERA WEALTH MANAGEMENT, LLC

CRD#: 155649 / SEC#: 801-71973

RIA

Registered Investment Advisory firm - (11/16/2010 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/1/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/27/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 2/15/1986

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 12/18/1984

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/26/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/20/1996

General Securities Principal Examination

Current Firm

MODERA WEALTH MANAGEMENT, LLC

MODERA ADVISORS OF CRYSTAL RIVER, LLC | MODERA WEALTH MANAGEMENT, LLC

CRD#: 155649 / SEC#: 801-71973

RIA

Registered Investment Advisory firm - (11/16/2010 Approved)

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Contact information

Main Address

56 Jefferson Avenue, Westwood, NJ 07675

Mailing Address

Phone number

(201) 768-4600

Established

Firm type

Fiscal year end

# of Employees

219

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

03 24 2025 MWM FORM ADV PART 2A FINAL (3/24/2025)

Regulatory assets under management

Total Number of Accounts	20,833
AUM (Assets Under Management)	$ 15,510,482,152

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/21/2025	Cover Page	Report
12/20/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/25/2023	Cover Page	Report

Red Flags

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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Sandra N. Bromfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROMFIELD SNEIDER WEALTH ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LINSCO FINANCIAL GROUP, INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MODERA WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/1/1992

Series 63

Date: 6/27/1984

Series 7

Date: 2/15/1986

Series 22

Date: 12/18/1984

Series 6

Date: 6/26/1984

Series 24

Date: 8/20/1996

Current Firm

MODERA WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

MODERA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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