Colleen J. Lindstrom
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.
Colleen Joy Lindstrom, who also goes by Colleen Joy Baumgartner, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 2001. Colleen had worked at 3 firms and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 16, 2013 - January 30, 2025
MERRIMAN
July 10, 2003 - January 16, 2013
MERRIMAN, LLC
July 11, 2001 - July 10, 2003
BERKMAN LINDSTROM FINANCIAL PLANNING, L.L.C.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
MERRIMAN
CRD#: 166580 / SEC#: 801-77544
Contact information
Regulatory assets under management
| Total Number of Accounts | 2,370 |
| AUM (Assets Under Management) | $ 3,605,822,320 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/07/2023 |
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.
