James M. Broom

NORTHSTAR WEALTH MANAGEMENT

Bloomington, MN 55435

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CRD#: 2951595

Professional summary

James Matthew Broom SR, who also goes by Jim Broom Sr, Matt Broom Sr, Jim Broom, is a registered financial advisor currently at NORTHSTAR WEALTH MANAGEMENT, INC. located in Bloomington, Minnesota.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. James has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 31, Series 7, Series 10, Series 9 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jim Broom Sr | Matt Broom Sr | Jim Broom

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)Northstar Wealth Management,Inc;investment related;7760 France Ave S,Suite 155,Bloomington,MN 55435;corporate structure for investment business;CEO;1/24/2009;40 hrs/month;6.5 hrs during trading;investment advisor services for clients 2)Divorce Strategies Group,Inc;not investment related;7760 France Ave S,Suite 155,Bloomington,MN 55435;certified divorce financial analyst;CDFA;7/2016;20 hrs/month;1 hr during trading;financial tracing,life style analysis,financial neutral,expert witness 3) PKS Financial. Investment related. Located at 80 State Street, Albany NY 12207. Fixed/Traditional Insurance. Title is Agent. Started July 2020. 20 hrs/mo devoted - 0 during trading. duties are sales of fixed/traditional insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Broom SR's 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

February 28, 2020 - Present

NORTHSTAR WEALTH MANAGEMENT, INC.

Office #1: 7760 France Avenue South Suite 925, Bloomington, MN 55435

RIA

CRD#: 306721

Bloomington, MN

Past

July 1, 2020 - October 11, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Bloomington, MN

Past

December 4, 2017 - July 2, 2020

OSAIC ADVISORY SERVICES, LLC

RIA

CRD#: 171070

Bloomington, MN

Past

December 4, 2017 - July 2, 2020

TRIAD ADVISORS LLC

CRD#: 25803

Bloomington, MN

Past

August 10, 2004 - December 6, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA

CRD#: 11025

BLOOMINGTON, MN

Past

July 30, 2004 - December 6, 2017

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

BLOOMINGTON, MN

Past

July 15, 2002 - August 4, 2004

LPL FINANCIAL LLC

RIA

CRD#: 6413

EDINA, MN

Past

July 5, 2002 - August 4, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

March 14, 2000 - July 10, 2002

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BLOOMINGTON NORTH, MN

Past

November 3, 1997 - July 10, 2002

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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
(2/28/2020)

IAR

Texas
(2/9/2021)

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: 5/29/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/7/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 1/16/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 10/31/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 12/5/2008

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 12/13/2006

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 8/28/2002

General Securities Principal Examination

Current Firm

NORTHSTAR WEALTH MANAGEMENT, INC.

CRD#: 306721 / SEC#:

Minnesota

Registered Investment Advisory firm - (2/27/2020 Approved)

Texas

Registered Investment Advisory firm - (2/9/2021 Conditional Restricted)

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Contact information

Main Address

7760 France Avenue South Suite 155, Bloomington, MN 55435

Mailing Address

Phone number

(952) 831-2300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	262
AUM (Assets Under Management)	$ 71,746,116

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

James M. Broom

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Matthew Broom SR's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

OSAIC ADVISORY SERVICES, LLC

TRIAD ADVISORS LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/29/1998

Series 63

Date: 11/7/1997

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 1/16/2002

Series 7

Date: 10/31/1997

Series 10

Date: 12/5/2008

Series 9

Date: 12/13/2006

Series 24

Date: 8/28/2002

Current Firm

NORTHSTAR WEALTH MANAGEMENT, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

NORTHSTAR WEALTH MANAGEMENT, INC.

TRUST BUT VERIFY

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