James R. Shoquist

NORTHWEST WEALTH MANAGEMENT

OMAHA, NE 68144

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CRD#: 5612546

Professional summary

James Robert Shoquist, CFP® is a registered financial advisor currently at NORTHWEST WEALTH MANAGEMENT, LLC located in Omaha, Nebraska.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. James has worked at 3 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 James Robert Shoquist'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®

CFP^®

Certified Financial Planner

Start date: 2019

Experience

Current

May 7, 2014 - Present

NORTHWEST WEALTH MANAGEMENT, LLC

Office #1: 14320 Arbor Street, Omaha, NE 68144

RIA

CRD#: 152816

OMAHA, NE

Past

January 3, 2011 - May 6, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

BELLEVUE, NE

Past

January 3, 2011 - May 6, 2014

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BELLEVUE, NE

Past

March 20, 2009 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

OMAHA, NE

Past

December 23, 2008 - January 3, 2011

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

OMAHA, NE

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".

NORTHWEST WEALTH MANAGEMENT, LLC

CRD#: 152816 / SEC#: 801-72545

RIA

Registered Investment Advisory firm - (7/5/2011 Approved)

Indiana

Registered Investment Advisory firm - (7/12/2011 Terminated)

Iowa

Registered Investment Advisory firm - (7/18/2011 Terminated)

Nebraska

Registered Investment Advisory firm - (8/31/2011 Terminated)

South Dakota

Registered Investment Advisory firm - (7/12/2011 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2011 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Nebraska
(5/7/2014)

IAR

Texas
(9/4/2020)

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 66

Date: 3/17/2009

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 12/22/2008

General Securities Representative Examination

Current Firm

NORTHWEST WEALTH MANAGEMENT, LLC

CRD#: 152816 / SEC#: 801-72545

RIA

Registered Investment Advisory firm - (7/5/2011 Approved)

Indiana

Registered Investment Advisory firm - (7/12/2011 Terminated)

Iowa

Registered Investment Advisory firm - (7/18/2011 Terminated)

Nebraska

Registered Investment Advisory firm - (8/31/2011 Terminated)

South Dakota

Registered Investment Advisory firm - (7/12/2011 Terminated)

Texas

Registered Investment Advisory firm - (7/12/2011 Terminated)

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Contact information

Main Address

1607 W. 18th Street, Spencer, IA 51301

Mailing Address

Phone number

(877) 207-0994

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A (3/5/2025)

Regulatory assets under management

Total Number of Accounts	4,063
AUM (Assets Under Management)	$ 865,221,987

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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James R. Shoquist

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Robert Shoquist's CRS (Customer Relationship Summary).

Certified licenses

Experience

NORTHWEST WEALTH MANAGEMENT, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

NORTHWEST WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/17/2009

Series 7

Date: 12/22/2008

Current Firm

NORTHWEST WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NORTHWEST WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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