Kathleen S. Shoemaker

NORTHROCK PARTNERS

Minneapolis, MN 55402

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CRD#: 2353759

Professional summary

Kathleen Sweeney Shoemaker, who also goes by Kate Shoemaker, Kathleen M Shoemaker, Kate Sweeney, Kathleen M Sweeney, is a registered financial advisor currently at NORTHROCK PARTNERS, LLC located in Minneapolis, Minnesota.

Kathleen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Kathleen has worked at 5 firms and has passed the Series 65, Series 63, Series 7, Series 11, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kate Shoemaker | Kathleen M Shoemaker | Kate Sweeney | Kathleen M Sweeney

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) - RIA

Click below to view Kathleen Sweeney Shoemaker's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

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

None

Experience

Current

August 12, 2022 - Present

NORTHROCK PARTNERS, LLC

Office #1: 225 South Sixth Street Suite 1400, Minneapolis, MN 55402

RIA

CRD#: 167908

Minneapolis, MN

Past

September 29, 1998 - February 12, 2002

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

CRD#: 26506

MINNEAPOLIS, MN

Past

December 5, 1995 - February 12, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

December 1, 1995 - February 12, 2002

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 13, 1993 - October 30, 1995

ALL-TECH DIRECT, INC.

CRD#: 13992

MONTVALE, NJ

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".

NORTHROCK PARTNERS, LLC

3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA

Registered Investment Advisory firm - (6/13/2013 Approved)

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

Minnesota
(8/12/2022)

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: 8/12/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/14/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/16/1994

General Securities Representative Examination

General Industry/Product Exam

Series 11

Date: 7/8/1993

Assistant Representative-Order Processing Qualification Exam

Principal/Supervisory Exam

Series 4

Date: 10/17/1996

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 2/8/1995

General Securities Principal Examination

Current Firm

NORTHROCK PARTNERS, LLC

3 TACTICAL ADVISOR, LLC | ORPHEUS WEALTH MANAGEMENT, LLC | NORTHROCK PARTNERS, LLC | LIFESTAGE WEALTH MANAGEMENT GROUP | LIFESTAGE WEALTH MANAGEMENT

CRD#: 167908 / SEC#: 801-78194

RIA

Registered Investment Advisory firm - (6/13/2013 Approved)

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Contact information

Main Address

225 South Sixth Street Suite 1400, Minneapolis, MN 55402

Mailing Address

Phone number

(612) 367-8800

Established

Firm type

Fiscal year end

# of Employees

161

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NORTHROCK PARTNERS ADV 2A BROCHURE (7/10/2025)

NORTHROCK PARTNERS WRAP BROCHURE MARCH 2024 (2/26/2025)

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	Cover Page	Report
11/05/2024	Cover Page	Report
01/29/2024	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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Advisor Monitoring

Firm Stability Insights

Kathleen S. Shoemaker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Sweeney Shoemaker's CRS (Customer Relationship Summary).

Certified licenses

Experience

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

ALL-TECH DIRECT, INC.

Primary Firm SEC Registration

NORTHROCK PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/2022

Series 63

Date: 9/14/1994

Series 7

Date: 8/16/1994

Series 11

Date: 7/8/1993

Series 4

Date: 10/17/1996

Series 24

Date: 2/8/1995

Current Firm

NORTHROCK PARTNERS, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

NORTHROCK PARTNERS, LLC

TRUST BUT VERIFY

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