Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Mertz is a financial advisor with Focus Financial, a firm headquartered in Minneapolis, Minnesota. James has been in the financial services industry since 1981 and has a wide range of experience, specializing in financial planning, retirement planning, and tax planning. James has been registered with the state of Minnesota as a registered representative and investment advisor representative since 2024. James has also passed a variety of securities exams, including the Series 6, Series 7, Series 22, Series 63, and Series 65 exams. James is also a Certified Financial Planner.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Percentage of assets under management with third party manager
1
2
MN
01/12/2024 - Present
Focus Financial (Bloomington MN)
MN
02/14/2018 - 01/19/2024
LPL FINANCIAL LLC (BLOOMINGTON MN)
MN
12/17/1996 - 02/14/2018
SII INVESTMENTS, INC. (BLOOMINGTON MN)
MN
05/30/1984 - 12/06/1996
OFFERMAN & COMPANY (MINNEAPOLIS MN)
NA
10/13/1981 - 06/06/1984
IDS MARKETING CORPORATION
NA
10/13/1981 - 06/06/1984
IDS/AMERICAN EXPRESS INC.
IA
Issued 12/22/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/17/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1984
Series 7 - General Securities Representative Examination
BC
Issued 07/29/1983
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 07/14/1981
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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