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James Matthew Frommelt

HENNEPIN PARTNERS
MINNEAPOLIS, MN
·CRD# 4474012·20 years experience

Professional Summary

James Matthew Frommelt, who also goes by James Matthew Frommelt, Jamie Frommelt, is a registered financial advisor currently at HENNEPIN PARTNERS LLC located in Minneapolis, Minnesota. James is registered as a RR (Registered Representative) and started their career in finance in 2006. James has worked at 5 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

James Matthew Frommelt, Jamie Frommelt

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

20 years in the financial services industry

Current & Past Employments

HENNEPIN PARTNERS LLC·CRD# 153034
BD
650 3rd Ave S. Suite 1500, Minneapolis, MN 55402
May 10, 2018 - Present
CRAIG-HALLUM CAPITAL GROUP LLC·CRD# 121395
BD
Minneapolis, MN
August 22, 2012 - April 12, 2018
LAZARD MIDDLE MARKET LLC·CRD# 146092
BD
Minneapolis, MN
June 19, 2008 - July 24, 2012
LAZARD FRERES & CO. LLC·CRD# 2528
BD
Minneapolis, MN
December 7, 2007 - July 23, 2008
GOLDSMITH, AGIO, HELMS SECURITIES, INC.·CRD# 26100
BD
Minneapolis, MN
August 4, 2006 - July 23, 2008

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Current Firm

HP
HENNEPIN PARTNERS LLC

HENNEPIN PARTNERS | QUETICO PARTNERS LLC | ITASCA PARTNERS LLC | HENNEPIN PARTNERS LLC

CRD#: 153034 / SEC#: 8-68498
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Contact Information

Main Address

650 3rd Ave S. Suite 1500, Minneapolis, MN 55402

Mailing Address

650 3rd Ave S. Suite 1500, Minneapolis, MN 55402

Phone Number

(612) 259-4990

Established

Minnesota since 01/27/2009

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (3 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
RYTO CORPORATIONSHAREHOLDER—
BEATON, DANIEL STEWARTFINOP, CFO4240769
FROMMELT, JAMES MATTHEWMANAGING DIRECTOR, CCO, EXEC REP4474012
KIERNAT, ROBERT BRUCEMANAGING DIRECTOR, AML SUPER.3003967
WEINSTEIN, NEILCHIEF EXECUTIVE OFFICER AND MANAGING DIRECTOR4908034

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Minnesota
(5/10/2018)
RR
Texas
(6/22/2026)
RR
Washington
(10/18/2024)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2006About the Series 63 exam

Series 79TO — Investment Banking Registered Representative Examination

Passed Jan 2023About the Series 79TO exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Aug 2006About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Apr 2008About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

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

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