Unclaimed Profile

James Bernard Lund

NORTHROCK PARTNERS, LLC·MINNEAPOLIS, Minnesota

SIE, Series 7, Series 63CFP12 years registeredNORTHROCK PARTNERS, LLC

225 SOUTH SIXTH STREET, MINNEAPOLIS, MN 55402CRD# 1576436Firm CRD# 167908

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

James Bernard Lund · MINNEAPOLIS, MN

Registration

CRD #1576436 · NORTHROCK PARTNERS, LLC · 12 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: NORTHROCK PARTNERS, LLC

NORTHROCK PARTNERS, LLC

Oct 2013 – Jan 2026

MINNEAPOLIS, MN

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 63

Registration record

First registered · October 21, 2013

Years registered · 12

Professional designation · CFP

Disclosure History

2015Customer Dispute·Settled

2006Customer Dispute·Settled

2001Customer Dispute·Denied

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

NORTHROCK PARTNERS, LLC

CRD 167908 · SEC 801-78194

AUM

$5.8B

Regulatory assets under management

Employees

154

11,981 client accounts

Services offered by NORTHROCK PARTNERS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at NORTHROCK PARTNERS, LLC →

Introduction

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Frequently Asked Questions

What services does James Bernard Lund offer?

James Bernard Lund specializes in Financial Planning, Investment Management, Wealth Management.

What are James Bernard Lund's credentials?

James Bernard Lund holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is James Bernard Lund located?

James Bernard Lund is based in MINNEAPOLIS, Minnesota, last registered with NORTHROCK PARTNERS, LLC.

How does James Bernard Lund charge for services?

James Bernard Lund's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NORTHROCK PARTNERS, LLC?

NORTHROCK PARTNERS, LLC has approximately 154 employees and manages $5.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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