Dow H. Drukker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dow Henry Drukker IV, who also goes by Dow Henry Drukker, was a registered financial professional .
Dow is a previously registered financial professional and started their career in finance in 1983. Dow had worked at 12 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2014 - April 6, 2016
NORTHLAND SECURITIES, INC.
January 29, 2013 - May 27, 2014
ASCENDIANT CAPITAL MARKETS, LLC
July 17, 2009 - January 9, 2013
CAPSTONE INVESTMENTS
November 3, 2008 - April 16, 2009
AVIAN SECURITIES, LLC
January 30, 2004 - July 2, 2008
FERRIS, BAKER WATTS, LLC
December 17, 2001 - June 30, 2003
KAUFMAN BROS., L.P.
August 3, 2001 - October 31, 2001
AUERBACH GRAYSON & COMPANY LLC
January 4, 1999 - June 21, 2001
NATIXIS SECURITIES AMERICAS LLC
October 2, 1998 - February 12, 1999
CANTOR FITZGERALD & CO.
July 24, 1996 - May 15, 1998
LEHMAN BROTHERS INC.
May 2, 1986 - February 22, 1996
SCOTIA CAPITAL (USA) INC.
August 20, 1983 - January 1, 1986
MOSELEY SECURITIES CORPORATION
Primary Firm SEC Registration
NORTHLAND SECURITIES, INC.
CRD#: 40258 / SEC#: 801-96329, 8-48994
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/10/1999
Limited Representative-Equity Trader ExamCurrent Firm
NORTHLAND SECURITIES, INC.
CRD#: 40258 / SEC#: 801-96329, 8-48994
Contact information
SEC notice filing (20 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NORTHLAND CAPITAL HOLDINGS, INC. | DIRECT OWNER | |
| ALDEN, DUSTIN RICHARD | CHIEF FINANCIAL OFFICER, FINOP | 6131554 |
| COTA, DAVID E | DIRECTOR | 2866911 |
| HENN, TIFFANY DAWN | DIRECTOR | 5515577 |
| NITZSCHE, RANDY GENE | CEO, PRESIDENT | 1558954 |
| SPANIER, TRACI LEE | CO-CHIEF COMPLIANCE OFFICER | 2897659 |
| TEIGLAND, MANDY MARIE | CO-CHIEF COMPLIANCE OFFICER | 4870219 |
| WADE, STEPHEN CURTIS | DIRECTOR | 2416612 |
Regulatory assets under management
| Total Number of Accounts | 1,068 |
| AUM (Assets Under Management) | $ 359,889,042 |
Disclosures
| Regulatory Event | 7 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
