James M. Frommelt
Professional summary
James Matthew Frommelt, who also goes by James Matthew Frommelt, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Matthew Frommelt's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 10, 2018 - Present
HENNEPIN PARTNERS LLC
Office #1: 650 3rd Ave S. Suite 1500, Minneapolis, MN 55402August 22, 2012 - April 12, 2018
CRAIG-HALLUM CAPITAL GROUP LLC
June 19, 2008 - July 24, 2012
LAZARD MIDDLE MARKET LLC
December 7, 2007 - July 23, 2008
LAZARD FRERES & CO. LLC
August 4, 2006 - July 23, 2008
GOLDSMITH, AGIO, HELMS SECURITIES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/10/2018)
(10/18/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
HENNEPIN PARTNERS LLC
CRD#: 153034 / SEC#: , 8-68498
Contact information
FINRA licenses (2 States and Territories)
Documents
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.
