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Detailed Report
JAMES RICHARD MERTZ
CRD#: 1001710
IA
Investment Adviser
B
Broker
FOCUS FINANCIALCRD#: 116140 8100 Penn Ave, Suite 175
Bloomington, MN 55431
OSAIC WEALTH, INC.CRD#: 23131 8100 PENN AVENUE S UNIT 175
BLOOMINGTON, MN 55431
Registration History
1985199019952000200520102015202020252 FIRMS1981 - 1984 (2 years)2 FIRMS1996 - 2018 (21 years)2 FIRMS2018 - 2024 (5 years)2 FIRMS2024 - Present (1 year)BOFFERMAN & COMPANY (CRD# 345)1984 - 1996 (12 years)
License(s)

State Registrations

B
California 1/12/2024
B
New Jersey 1/12/2024
B
Colorado 1/12/2024
B
New Mexico 8/13/2024
B
Florida 1/12/2024
B
North Carolina 1/24/2024
B
Georgia 1/12/2024
B
South Dakota 1/12/2024
B
Illinois 1/12/2024
B
Texas 1/12/2024
B
Minnesota 1/12/2024
B
Washington 1/12/2024
IA
Minnesota 1/12/2024
B
Wisconsin 1/12/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FOCUS FINANCIAL (CRD#:116140)
8100 Penn Ave, Suite 175, Bloomington, MN 55431
Registered with this firm since 1/12/2024
B
OSAIC WEALTH, INC. (CRD#:23131)
8100 PENN AVENUE S UNIT 175, BLOOMINGTON, MN 55431
Registered with this firm since 1/12/2024
Previous Registration(s)
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IA
 02/14/2018 - 01/19/2024 LPL FINANCIAL LLC (CRD#:6413) BLOOMINGTON, MN
B
 02/14/2018 - 01/19/2024 LPL FINANCIAL LLC (CRD#:6413) BLOOMINGTON, MN
IA
 12/20/1996 - 02/14/2018 SII INVESTMENTS, INC. (CRD#:2225) BLOOMINGTON, MN
B
 12/17/1996 - 02/14/2018 SII INVESTMENTS, INC. (CRD#:2225) BLOOMINGTON, MN
B
 05/30/1984 - 12/06/1996 OFFERMAN & COMPANY (CRD#:345) MINNEAPOLIS, MN
B
 10/13/1981 - 06/06/1984 IDS MARKETING CORPORATION (CRD#:6363)
B
 10/13/1981 - 06/06/1984 IDS/AMERICAN EXPRESS INC. (CRD#:6320)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.