COLLIERS SECURITIES LLC of MINNEAPOLIS, MN is an SEC-registered investment adviser (CRD 7477). Regulatory assets under management: $329.6M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Charities.
Showing 25 of 36 people.
| Name | Role | Location |
|---|---|---|
| Deborah Marie Hable | OPERATIONS MANAGER | — |
| David Bramley Juran | CHAIRMAN OF THE BOARD | — |
| Jeffrey Duane Jacobson | EVP, CHIEF OPERATING OFFICER & BOARD MEMBER | — |
| David Thomas Mullen | EVP, BOARD MEMBER | — |
| Thomas Francis Steichen | EVP, CCO & GENERAL COUNSEL, BOARD MEMBER | — |
| James John Iii Hiniker | SVP | — |
| Roger Allan Norris | SVP, REGISTERED OPTIONS PRINCIPAL | — |
| Craig Daniel Theis | SVP, BOARD MEMBER | — |
| Rebecca Van Handel | CHIEF FINANCIAL OFFICER & FINOP | — |
| Mark Kenneth Johnson | VP, BRANCH MANAGER, CHIEF SUPERVISION OFFICER | — |
| DOUGHERTY MICHAEL EMMETT | OWNER; TRUSTEE | — |
| ABOOD THOMAS JOSEPH | SECRETARY | — |
| ZIERMANN PAMELA KAY REINITZ | SVP COMPLIANCE , CHIEF COMPLIANCE OFFICER; SVP-COMPLIANCE & HUMAN RESOURCES, CHIEF COMPLIANCE OFFICER | — |
| SANDBERG MICHELLE MARIE | EVP, TREASURER, AND CHIEF FINANCIAL OFFICER,; EVP, TREASURER AND CHIEF FINANCIAL OFFICER, BOARD MEMBER; EVP, TREASURER, CHIEF FINANCIAL OFFICER, SECRETARY (+2 more) | — |
| KRAUT GERALD ANTHONY | CEO, PRESIDENT, BOARD CHAIR, BRANCH MANAGER; CEO, PRESIDENT, BRANCH MANAGER | — |
| EDWARDS TIM ALAN | VP, MANAGER OF EQUITY TRADING DESK | — |
| JOHNSON KENNETH | VP, BRANCH MANAGER; VP, BRANCH MANAGER, CHIEF SUPERVISION OFFICER | — |
| MCKINLEY CHRISTOPHER JOHN | SVP - EQUITY CAPITAL MARKETS & CORPORATE FINANCE | — |
| MCWHIRTER STEVEN DOUGLAS | EVP-STRUCTURED FINANCE, CROP, ROP; EVP - STRUCTURED FINANCE, ROSFP; EVP-STRUCTURED FINANCE, ROSFP | — |
| WESTERLUND GARY GENE | VP, BRANCH MANAGER | — |
| HABLE DEBORAH MARIE | OPERATIONS MANAGER | — |
| WOODSEND RAY ELTON | SVP & BRANCH MANAGER; SVP, BRANCH MANAGER | — |
| JURAN DAVID BRAMLEY | CHAIRMAN OF THE BOARD; DIRECTOR, EVP, BRANCH MANAGER; EVP (+2 more) | — |
| JACOBSON JEFFREY DUANE | EVP, CHIEF OPERATING OFFICER & BOARD MEMBER; EXEC VICE PRES, BRANCH MANAGER; EXEC VICE PRES, BRANCH MANAGER, DIRECTOR (+2 more) | — |
| POLSKY ALAN DAVID | DIRECTOR, SVP; EVP, BOARD MEMBER; OWNER, DIRECTOR, SVP (+1 more) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-06-16 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO UTILIZE THE REQUIRED SPECIAL CONDITION INDICATOR FOR TRANSACTIONS IN NEW ISSUE MUNICIPAL SECURITIES THAT THE FIRM REPORTED TO THE RTRS. THE FINDINGS STATED THAT THE FIRM PART… | Final | $55K |
| 2019-10-14 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO MAKE TIMELY SUBMISSIONS OR TO SUBMIT ACCURATE INFORMATION REGARDING THE RESULT OF AN INTEREST RATE RESET FOR VARIABLE RATE DEMAND OBLIGATIONS (VRDOS) TO THE MUNICIPAL SECURIT… | Final | $25K |
| 2016-11-28 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT THE FIRM DID NOT ADEQUATELY SUPERVISE A REGISTERED REPRESENTATIVE WHO (A) PLACED TRADES FOR TWO CUSTOMERS WITHOUT FIRST CONTACTING THEM, AND (B) MADE UNSUITABLE RECOMMENDATIONS. | Final | $140K |
| 2016-06-08 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT PROVIDED UNDERWRITING SERVICES FOR ISSUERS WITH WHICH IT HAD ACTIVE "BLANKET" FINANCIAL ADVISORY AGREEMENTS. THE FINDINGS STATED THAT THE BLANKET AGREEMENTS WERE NOT LIMITED BY TIME OR… | Final | $50K |
| 2015-06-18 | regulatory | SEC ADMIN RELEASES 33-9822; 34-75216/JUNE 18, 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 DOUGHERTY & COMPANY LLC ("RESPONDENT"). RESPONDENT WILLFULLY V… | Final | $250K |
| — | regulatory | — | — | — |
| City | State | Employees | Phone |
|---|---|---|---|
| MITCHELL | SD | 2 | (605) 990-6300 |
| FARGO | ND | 2 | (701) 356-9300 |
| WATERTOWN | SD | 2 | (605) 882-1200 |
| DETROIT LAKES | MN | 2 | 218-844-3825 |
| SIOUX FALLS | SD | 2 | (605) 339-2300 |
| BISMARCK | ND | 1 | (701) 222-4411 |
| — | — | 1 | 952-913-8335 |