Career
Kathleen Shoemaker has been Chief Compliance Officer of Northrock Partners since March 2023. Kathleen Shoemaker is a control person of the firm and directly owns under 5% of it.
Northrock Partners, LLC is a Minneapolis, MN firm with $12.2B under management, 4,811 clients and 91 advisers across 25 offices, as of its September 2026 filing.
- Northrock Partners, LLCCurrent– present · 4 yearsMinneapolis, MN · Adviser representative · Firm CRD 167908
Credentials and registrations
Investment adviser representative registrations
| State | Status | Since |
|---|---|---|
| Minnesota | Approved | 12 August 2022 |
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 12 August 2022 |
| Series 4 | Registered Options Principal Examination | 17 October 1996 |
| Series 24 | General Securities Principal Examination | 8 February 1995 |
| Series 63 | Uniform Securities Agent State Law Examination | 14 September 1994 |
| Series 7 | General Securities Representative Examination | 16 August 1994 |
| Series 11 | Assistant Representative-Order Processing Qualification Exam | 8 July 1993 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Registered Options Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Name
- Assistant Representative-Order Processing Qualification Exam
Individual record
- Full name
- Kathleen Sweeney Shoemaker
- CRD
- 2353759
- Office
- 225 SOUTH SIXTH STREET, SUITE 1400, Minneapolis, MN 55402
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Kathleen Shoemaker work?
Kathleen Shoemaker has been Chief Compliance Officer of Northrock Partners, LLC since March 2023, and is a control person of the firm.
Is Kathleen Shoemaker a financial advisor?
Yes. Kathleen Shoemaker has a current investment-adviser registration in Minnesota, through Northrock Partners since August 2022.
How many years of experience does Kathleen Shoemaker have?
Kathleen Shoemaker has 4 years in the financial industry, since August 2022, across 1 adviser firm.
What exams has Kathleen Shoemaker passed?
Kathleen Shoemaker has passed 6 licensing exams: the Series 11, Series 7, Series 63, Series 24, Series 4 and Series 65. The earliest, the Series 11, was passed in July 1993.
Where is Kathleen Shoemaker based?
Kathleen Shoemaker’s registered office is in Minneapolis, MN.