Mitchell L. Bloom

BLOOM FINANCIAL

WESTMINSTER, CO

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CRD#: 1682361

Professional summary

Mitchell Lewis Bloom was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Mitchell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Prior to being barred, Mitchell has worked at 13 firms, which includes FOURSTAR WEALTH ADVISORS LLC, BLOOM FINANCIAL LLC, CETERA WEALTH SERVICES LLC, QA3 FINANCIAL LLC, QA3 FINANCIAL CORP., CETERA ADVISORS LLC, FSC SECURITIES CORPORATION, WMA SECURITIES INC., FIRST ASSOCIATED SECURITIES GROUP INC., CONSOLIDATED INVESTMENT SERVICES INC., SCHNEIDER SECURITIES INC., MF GLOBAL INC., MARSHALL DAVIS INC..

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. NAME OF OTHER BUSINESS: BLOOM LIFE,LLC INVESTMENT RELATED: YES POSITION/TITLE/RELATIONSHIP: OWNER/AGENT BRIEF DESCRIPTION OF DUTIES: LIFE, AND ANNUITIES 2. NAME OF OTHER BUSINESS: ALTERNA CARD SERVICES INVESTMENT RELATED: NO, ADDRESS: WESTMINSTER, CO NATURE OF BUSINESS: RETAIL LINK POSITION/TITLE/RELATIONSHIP: OWNER, APX NUMBER OF HOURS PER MONTH: 5-10 BRIEF DESCRIPTION OF DUTIES: SALES AND MARKETING FOR DEVELOPMENTAL STAGE COMPANY 3. NAME OF OTHER BUSINESS: BLOOM FINANCIAL LLC INVESTMENT RELATED: YES POSITION/TITLE/RELATIONSHIP: OWNER/INVESTMENT ADVISER REPRESENTATIVE BRIEF DESCRIPTION OF DUTIES: WEALTH MANAGEMENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Lewis Bloom's CRS (Customer Relationship Summary).

CETERA WEALTH SERVICES, LLC

CRD#: 13572

WESTMINSTER, CO

Past

November 9, 2009 - February 11, 2011

QA3 FINANCIAL LLC

RIA

CRD#: 104957

BROOMFIELD, CO

Past

November 4, 2009 - February 11, 2011

QA3 FINANCIAL CORP.

CRD#: 14754

BROOMFIELD, CO

Past

January 1, 1999 - November 2, 2009

CETERA ADVISORS LLC

RIA

CRD#: 16278

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Colorado
(2/28/2025)

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

Series 63

Date: 8/28/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/13/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 2/9/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

Current Firm

BLOOM FINANCIAL, LLC

CRD#: 286324 / SEC#:

Colorado

Registered Investment Advisory firm - (2/28/2025 Approved)

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Contact information

Main Address

Westminster, CO

Mailing Address

390 Interlocken Crescent Suite 350, Broomfield, CO 80021

Phone number

(303) 430-0035

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Mitchell L. Bloom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell Lewis Bloom's CRS (Customer Relationship Summary).

Certified licenses

Experience

FOURSTAR WEALTH ADVISORS, LLC

BLOOM FINANCIAL, LLC

BLOOM FINANCIAL, LLC

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

QA3 FINANCIAL LLC

QA3 FINANCIAL CORP.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

FSC SECURITIES CORPORATION

WMA SECURITIES, INC.

FIRST ASSOCIATED SECURITIES GROUP, INC.

CONSOLIDATED INVESTMENT SERVICES, INC.

SCHNEIDER SECURITIES, INC.

MF GLOBAL INC.

MARSHALL DAVIS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/28/1987

SIE

Date: 11/13/2017

Series 3

Date: 2/9/1988

Series 7

Date: 8/15/1987

Current Firm

BLOOM FINANCIAL, LLC

Contact information

Documents

Red Flags

Company Information

BLOOM FINANCIAL, LLC

TRUST BUT VERIFY

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