NORTHLAND SECURITIES, INC. of MINNEAPOLIS, MN is an SEC-registered investment adviser (CRD 40258). Regulatory assets under management: $405.5M.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Charities, Other.
Showing 25 of 31 people.
| Name | Role | Location |
|---|---|---|
| Wade E Curtis | DIRECTOR | Irvine, CA |
| Randy Gene Nitzsche | CEO, PRESIDENT | — |
| Dustin Richard Alden | CHIEF FINANCIAL OFFICER, FINOP | — |
| Traci Lee Spanier | CHIEF COMPLIANCE OFFICER; CO-CHIEF COMPLIANCE OFFICER | — |
| Mandy Marie Teigland | CO-CHIEF COMPLIANCE OFFICER | — |
| David E Cota | DIRECTOR | — |
| Tiffany Dawn Henn | DIRECTOR | — |
| Stephen Curtis Wade | DIRECTOR | — |
| GLANVILLE PETER FULLER | CROP, & SROP | — |
| NITZSCHE RANDY GENE | CEO, PRESIDENT | — |
| BEESE MARK LAWRENCE | EVP & DIRECTOR | — |
| BARTZEN THOMAS JOSEPH | EVP, MUNI PRINCIPAL, & DIRECTOR | — |
| MATTSON STEVEN JOHN | EVP & DIRECTOR | — |
| LARSON JOHN RANDOLPH | SECRETARY | — |
| DUFFY TIMOTHY SCOTT | CFO, TREASURER, ASSISTANT SECRETARY, FIN-OP | — |
| TAYLOR GLEN ALBERT | OWNER | — |
| PEDERSEN JANIE SUE | CHIEF COMPLIANCE OFFICER | — |
| REYNOLDS JAMES | EXECUTIVE VICE PRESIDENT | — |
| KUBIK JAMES LOWELL | DIRECTOR | — |
| ZELLMER JO ANN | CHIEF COMPLIANCE OFFICER | — |
| JOHNSON ROBERT LOUIS | DIRECTOR | — |
| HENN TIFFANY DAWN | DIRECTOR | — |
| LINDRUD RANDY JON | DIRECTOR | — |
| SCHUMACHER JOHN MARK | DIRECTOR | — |
| ALDEN DUSTIN RICHARD | CHIEF FINANCIAL OFFICER, FINOP; CONTROLLER, FIN OP | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-07-17 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REGISTER ONE ASSOCIATED PERSON AS BOTH A SERIES 57 GENERAL SECURITIES REPRESENTATIVE AND SERIES 24 GENERAL SECURITIES PRINCIPAL WITH BZX. THE SAME ASSOCIATED PERSON WAS ALSO… | Final | $8K |
| 2016-08-25 | regulatory | THE CFPB ALLEGED THAT FNBO ENGAGED IN UNFAIR BILLING AND ENROLLMENT PRACTICES WITH RESPECT TO DEBT CANCELLATION AND CREDIT MONITORING PRODUCTS THAT RESULTED IN VIOLATIONS OF SECTIONS 1031 AND 1036 OF THE CONSUMER FINANCIAL PROTECTION ACT OF 2010. | Final | $4.5M |
| 2016-08-16 | regulatory | THE OCC ALLEGED THAT FNBO ENGAGED IN UNFAIR BILLING PRACTICES WITH REGARD TO IDENTITY PROTECTION PRODUCTS THAT RESULTED IN VIOLATIONS OF SECTION S OF THE FEDERAL TRADE COMMISSION ACT. | Final | $3.0M |
| 2015-09-30 | regulatory | SEC ADMIN RELEASES 33-9946; 34-76043; SEPTEMBER 30, 2015: THE SECURITIES AND EXCHANGE COMMISSION DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE, AND HEREBY ARE, INSTITUTED AGAINST NORTHLAND SECURITIES, INC. ("RESPONDENT"). RESPONDENT WI… | Final | $220K |
| 2010-07-15 | regulatory | THE FIRM WAS CITED FOR VARIOUS TRADE REPORTING VIOLATIONS DUE TO INCORRECT TRADE INDICATORS AND FAILURE TO DISCLOSE TRADE CAPACITY AND MARKET MAKER STATUS ON CUSTOMER CONFIRMATIONS. THE FIRM'S WRITTEN SUPERVISORY PROCEDURES WERE ALSO FOUND TO BE INADEQUATE. | Final | $5K |
| 2010-05-12 | regulatory | THE FIRM FAILED TO CORRECTLY INDICATE WHETHER ORDERS WERE A BUY, SHORT SALE OR LONG SALE WHICH ARE VIOLATIONS OF NASDAQ RULE 4755. | Final | $8K |
| 2007-03-20 | regulatory | NASD RULE 606 NORTHLAND FAILED TO MAKE PUBLICLY AVAILABLE FOR THE 4TH CALENDAR QUARTER OF 2004 THROUGH THE THIRD CALENDAR QUARTER OF 2005 A COMPLETE REPORT ON ITS ROUTING OF NON-DIRECTED ORDERS IN COVERED SECURITEIS DURING THOSE QUARTERS. | Final | $5K |
| 2006-12-11 | regulatory | NORTHLAND TRANSFERRED INVESTOR FUNDS FOR PRIVATE PLACEMENT OFFERINGS TO AN ESCROW ACCOUNT UNDER THE CONTROL OF AFFILATED COMPANY NORTHLAND TRUST SERVICES. NORTHLAND RELEASED INVESTOR FUNDS PRIOR TO CONTINGENCY BEING MET WITH BONA FIDE INVESTORS, AS DIRECTORS OR OFFICERS PARTICIPATED IN OFFERING AND… | Final | $10K |
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