James B. Lund
Professional summary
James Bernard Lund, CFP® is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in Minneapolis, Minnesota.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1986. James has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Bernard Lund's CRS (Customer Relationship Summary).
Certified licenses
Start date: 1992
Experience
October 21, 2013 - Present
NORTHROCK PARTNERS, LLC
Office #1: 225 South Sixth Street Suite 1400, Minneapolis, MN 55402October 17, 2013 - December 1, 2016
PURSHE KAPLAN STERLING INVESTMENTS
August 2, 2000 - July 3, 2006
IDS LIFE INSURANCE COMPANY
October 22, 1986 - October 21, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
NORTHROCK PARTNERS, LLC
CRD#: 167908 / SEC#: 801-78194
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(2/9/2024)
(7/25/2019)
(12/9/2013)
(10/21/2013)
(1/5/2023)
Exams
Current Firm
NORTHROCK PARTNERS, LLC
CRD#: 167908 / SEC#: 801-78194
Contact information
SEC notice filing (40 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,834 |
| AUM (Assets Under Management) | $ 6,596,242,797 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/26/2025 | ||
| 11/05/2024 | ||
| 01/29/2024 |
Red Flags
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