Unclaimed Profile

Kathleen Sweeney Shoemaker

NORTHROCK PARTNERS, LLC·MINNEAPOLIS, Minnesota

Series 4, Series 7, Series 11, Series 24, Series 63, Series 65Clean record4 years registeredNORTHROCK PARTNERS, LLC

225 SOUTH SIXTH STREET, MINNEAPOLIS, MN 55402CRD# 2353759Firm CRD# 167908

Profile Verification

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

Identity

Kathleen Sweeney Shoemaker · MINNEAPOLIS, MN

Registration

CRD #2353759 · NORTHROCK PARTNERS, LLC · 4 years registered

Brand Profile

Not yet started

Career History

NORTHROCK PARTNERS, LLC

Aug 2022 – present

Registrations & Exams

FINRA examinations passed

Series 4

Series 7

Series 11

Series 24

Series 63

Series 65

Registration record

First registered · August 12, 2022

Years registered · 4

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

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 Kathleen Sweeney Shoemaker offer?

Kathleen Sweeney Shoemaker specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in MINNEAPOLIS, Minnesota for a consultation.

What are Kathleen Sweeney Shoemaker's credentials?

Kathleen Sweeney Shoemaker is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Kathleen Sweeney Shoemaker located?

Kathleen Sweeney Shoemaker is based in MINNEAPOLIS, Minnesota, working with NORTHROCK PARTNERS, LLC. Their office serves clients in the MINNEAPOLIS metropolitan area and surrounding communities.

How does Kathleen Sweeney Shoemaker charge for services?

Kathleen Sweeney Shoemaker'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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