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Current Employers
Northland Securities, Inc.

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

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-06-21
  • MN RA
    APPROVED
    Since 2022-06-21

Branch Locations

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

Disclosures

1 disclosure category 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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Northland Securities, Inc Minneapolis MN 01/2003 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-06-14
S63 Uniform Securities Agent State Law Examination 1982-02-22
  • S65 Uniform Investment Adviser Law Examination
    2022-06-14
  • S63 Uniform Securities Agent State Law Examination
    1982-02-22

View on SEC IAPD

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