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James Richard Carlson

Northland Securities, Inc.

Milwaukee, WI

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Current Employers
Northland Securities, Inc.

150 South 5Th Street Suite 3300, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2025-10-13
NY RA APPROVED 2025-07-21
MN RA APPROVED 2023-09-06
CA RA APPROVED 2023-05-19
CO RA APPROVED 2023-01-12
FL RA APPROVED 2021-04-23
WI RA APPROVED 2010-01-13
IL RA APPROVED 2008-04-08
  • KS RA
    APPROVED
    Since 2025-10-13
  • NY RA
    APPROVED
    Since 2025-07-21
  • MN RA
    APPROVED
    Since 2023-09-06
  • CA RA
    APPROVED
    Since 2023-05-19
  • CO RA
    APPROVED
    Since 2023-01-12
  • FL RA
    APPROVED
    Since 2021-04-23
  • WI RA
    APPROVED
    Since 2010-01-13
  • IL RA
    APPROVED
    Since 2008-04-08

Branch Locations

10700 W. Research Drive Suite 4, Milwaukee, WI 53226 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Northland Securities, Inc Minneapolis MN 11/2007 Present
Previous Registrations
  • 2004-01-15 → 2007-03-26
    Citigroup Global Markets Inc.
    Milwaukee, WI
    Madison, WI
  • 2007-03-21 → 2007-03-21
    First Midamerica Investment Corporation
    Milwaukee, WI
Other Businesses

ARBITRATOR W/NASD BOARD OF ARBITRATION SINCE 7/1996. BUSINESS OF DISPUTE SETTLEMENT VIA ARBITRATION PROCESS. 32 HRS/YR, MINOR COMPENSATION.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-01-27
S63 Uniform Securities Agent State Law Examination 1980-04-24
  • S65 Uniform Investment Adviser Law Examination
    1995-01-27
  • S63 Uniform Securities Agent State Law Examination
    1980-04-24

View on SEC IAPD

Other Firms

ROBERT W. BAIRD & CO. INCORPORATED
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLC
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC
BAIRD CAPITAL MANAGEMENT COMPANY, LLC
NATIONAL INVESTMENT SERVICES OF AMERICA, LLC
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLC

Other Investors

GREGORY BERNARD GREENHOUSE
GREGORY S PINSKY
SCOTT JOHN HANSON
MICHAEL JOSEPH GLAISNER
ADAM JOSEPH KAPUSTA
PAMELA CAIN-HENRY
LAURA MARIE HEBERT
DANIEL JOSEPH RENOUARD

Other Offices

ROBERT W. BAIRD & CO. INCORPORATED · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY V, LLC · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY III, LLC · MILWAUKEE, WI
BAIRD CAPITAL MANAGEMENT COMPANY, LLC · MILWAUKEE, WI
NATIONAL INVESTMENT SERVICES OF AMERICA, LLC · MILWAUKEE, WI
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY, LLC · MILWAUKEE, WI
BAIRD PRINCIPAL GROUP MANAGEMENT COMPANY I, LLC · MILWAUKEE, WI
BAIRD VENTURE PARTNERS MANAGEMENT COMPANY IV, LLC · MILWAUKEE, WI

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