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150 South 5Th Street Suite 3300, Minneapolis, MN 55402 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IA | RA | APPROVED | 2026-07-10 |
| VA | RA | APPROVED | 2026-04-03 |
| SD | RA | APPROVED | 2026-01-26 |
| OH | RA | APPROVED | 2025-05-05 |
| WA | RA | APPROVED | 2024-09-24 |
| CO | RA | APPROVED | 2023-01-13 |
| FL | RA | APPROVED | 2022-06-30 |
| CA | RA | APPROVED | 2021-01-12 |
| AZ | RA | APPROVED | 2020-07-10 |
| TX | RA | APPROVED_RES | 2020-02-12 |
| WI | RA | APPROVED | 2018-07-30 |
| MN | RA | APPROVED | 2017-10-17 |
| IL | RA | APPROVED | 2017-10-12 |
Branch Locations
150 South Fifth Street Suite 3300, Minneapolis, MN 55402 • USA
150 South Fifth Street Suite 3300, Minneapolis, MN 55402 • United States
2 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Equity Securities Investments | Golden Valley | MN | 07/2002 | 10/2017 |
| Northland Securities, Inc | Minneapolis | MN | 10/2017 | Present |
1) MDL CONSULTING SERVICES LLC, CEO, BUSINESS AND SALES CONSULTING, NOT INVESTMENT RELATED, PLYMOUTH, MN, 10 HRS PER MONTH, NOT DURING MARKET HOURS SINCE JUNE 2013 2) CONCIERGE SERVICES BY SARA-ANN LLC, ADVISER, PROVIDER OF CONCIERGE SERVICES, NOT INVESTMENT RELATED, MINNEAPOLIS, MN, 5 HRS PER MONTH, NOT DURING MARKET HOURS, SINCE MARCH 2017
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-09-08 |
| S65 | Uniform Investment Adviser Law Examination | 1992-02-07 |
| S63 | Uniform Securities Agent State Law Examination | 1981-04-20 |
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