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Detailed Report
MITCHELL LEWIS BLOOM
CRD#: 1682361
IA
Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
BLOOM FINANCIAL, LLCCRD#: 286324 WESTMINSTER, CO
Registration History
199019952000200520102015202020252 FIRMS1995 - 1995 (<1 year)2 FIRMS2009 - 2011 (1 year)2 FIRMS2011 - 2017 (6 years)IABLOOM FINANCIAL, LLC (CRD# 286324)2025 - Present (<1 year)BMULTI-FINANCIAL SECURITIES COR... (CRD# 10299)1996 - 2009 (13 years)BFSC SECURITIES CORPORATION (CRD# 7461)1995 - 1996 (<1 year)BCONSOLIDATED INVESTMENT SERVIC... (CRD# 7929)1994 - 1995 (1 year)BSCHNEIDER SECURITIES, INC. (CRD# 16434)1992 - 1993 (<1 year)BGELDERMANN SECURITIES, INC. (CRD# 6731)1989 - 1991 (2 years)BMARSHALL DAVIS, INC. (CRD# 16278)1987 - 1987 (<1 year)IAFOURSTAR WEALTH ADVISORS, LLC (CRD# 169613)2023 - 2025 (1 year)IABLOOM FINANCIAL, LLC (CRD# 286324)2017 - 2024 (6 years)IABLOOM FINANCIAL, LLC (CRD# 286324)2017 - 2017 (<1 year)IAMULTI-FINANCIAL SECURITIES COR... (CRD# 10299)1999 - 2009 (10 years)
Disclosure(s)
View By:
2/13/2025
Employment Separation After Allegations
11/25/2019
Regulatory
Final
2/6/2019
Regulatory
Final
11/1/2017
Employment Separation After Allegations
License(s)

State Registrations

IA
Colorado 2/28/2025
Current Registration(s)
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BLOOM FINANCIAL, LLC (CRD#:286324)
WESTMINSTER, CO
Registered with this firm since 2/28/2025
Previous Registration(s)
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 07/06/2023 - 02/14/2025 FOURSTAR WEALTH ADVISORS, LLC (CRD#:169613) Broomfield, CO
IA
 12/01/2017 - 01/31/2024 BLOOM FINANCIAL, LLC (CRD#:286324) BROOMFIELD, CO
IA
 02/17/2011 - 11/13/2017 CETERA ADVISOR NETWORKS LLC (CRD#:13572) WESTMINSTER, CO
B
 02/17/2011 - 11/13/2017 CETERA ADVISOR NETWORKS LLC (CRD#:13572) WESTMINSTER, CO
IA
 03/15/2017 - 10/27/2017 BLOOM FINANCIAL, LLC (CRD#:286324) WESTMINSTER, CO
IA
 11/09/2009 - 02/11/2011 QA3 FINANCIAL LLC (CRD#:104957) BROOMFIELD, CO
B
 11/04/2009 - 02/11/2011 QA3 FINANCIAL CORP. (CRD#:14754) BROOMFIELD, CO
IA
 01/01/1999 - 11/02/2009 MULTI-FINANCIAL SECURITIES CORPORATION (CRD#:10299) WESTMINSTER, CO
B
 10/02/1996 - 11/02/2009 MULTI-FINANCIAL SECURITIES CORPORATION (CRD#:10299) WESTMINSTER, CO
B
 11/10/1995 - 08/23/1996 FSC SECURITIES CORPORATION (CRD#:7461) ATLANTA, GA
B
 08/04/1995 - 11/15/1995 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
B
 02/09/1995 - 08/02/1995 FIRST ASSOCIATED SECURITIES GROUP, INC. (CRD#:20597)
FINRA expelled the firm on 12/22/2000
CHICO, CA
B
 02/03/1994 - 02/09/1995 CONSOLIDATED INVESTMENT SERVICES, INC. (CRD#:7929) LITTLETON, CO
B
 10/19/1992 - 05/04/1993 SCHNEIDER SECURITIES, INC. (CRD#:16434) DENVER, CO
B
 01/09/1989 - 03/25/1991 GELDERMANN SECURITIES, INC. (CRD#:6731) NEW YORK, NY
B
 08/20/1987 - 12/07/1987 MARSHALL DAVIS, INC. (CRD#:16278)
FINRA expelled the firm on 05/30/1991
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.