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RIA / WealthAdvisor28 years in industry

JAMES MATTHEW BROOM

Advisor at NORTHSTAR WEALTH MANAGEMENT, INC.

Bloomington, MN

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Search this name across graphsid dfx:ria:a1458911-7c02-c1aa-06a1-2d0ec91fec9e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Mar 14, 2000 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: NORTHSTAR WEALTH MANAGEMENT, INC.
Current firm class: state registeredderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 7, 1997earliest registration or exam on IAPD
Years in industry: 28derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Nov 7, 1997
First registration: Mar 14, 2000
Dual registered: no
Other names: JIM BROOM|MATT BROOM|Jim Broom
IAPD individual key: 2951595

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
NORTHSTAR WEALTH MANAGEMENT, INC.	State registered	Feb 28, 2020	n/a	yes	Bloomington, MN	Current employment
OSAIC ADVISORY SERVICES, LLC	Bd affiliated wealth	Dec 4, 2017	Jul 2, 2020	no	Bloomington, MN\|ATLANTA, GA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Aug 10, 2004	Dec 6, 2017	no	BLOOMINGTON, MN	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 15, 2002	Aug 4, 2004	no	EDINA, MN	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Mar 14, 2000	Jul 10, 2002	no	BLOOMINGTON NORTH, MN	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
OSAIC ADVISORY SERVICES, LLC	NORTHSTAR WEALTH MANAGEMENT, INC.	Jul 2, 2020	Feb 28, 2020	-125	Firm change after gap	Ibd to state RIA
WELLS FARGO ADVISORS	OSAIC ADVISORY SERVICES, LLC	Dec 6, 2017	Dec 4, 2017	-2	Firm change	Wirehouse to RIA
LPL FINANCIAL LLC	WELLS FARGO ADVISORS	Aug 4, 2004	Aug 10, 2004	6	Firm change	Other
WELLS FARGO ADVISORS	LPL FINANCIAL LLC	Jul 10, 2002	Jul 15, 2002	5	Firm change	Other

Relationships

Registered with (5)

→ NORTHSTAR WEALTH MANAGEMENT, INC.Registered adviserregistration: current employment
Feb 28, 2020 to presentfactForm ADV
→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: previous registration
Dec 4, 2017 to Jul 2, 2020factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Aug 10, 2004 to Dec 6, 2017factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 15, 2002 to Aug 4, 2004factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 14, 2000 to Jul 10, 2002factForm ADV

Dated events

No dated event names this entity yet.