Thomas M. Trebby
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.
Thomas Mark Trebby, who also goes by Thomas M Trebby, Thomas Trebby, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1985. Thomas had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 30, 2009 - June 3, 2022
NORTHLAND SECURITIES, INC.
March 27, 2009 - June 3, 2022
NORTHLAND SECURITIES, INC.
March 9, 2009 - April 15, 2009
UBS FINANCIAL SERVICES INC.
May 16, 2003 - April 15, 2009
UBS FINANCIAL SERVICES INC.
March 20, 2000 - May 23, 2003
RBC CAPITAL MARKETS, LLC
January 1, 1999 - March 20, 2000
B. C. ZIEGLER AND COMPANY
January 22, 1997 - January 1, 1999
GS2 SECURITIES, INC.
May 23, 1994 - October 8, 1996
CEDAR HILL FINANCIAL SERVICES, INC.
September 4, 1990 - March 30, 1994
WELLS FARGO CLEARING SERVICES, LLC
September 25, 1985 - September 4, 1990
BLUNT ELLIS & LOEWI INCORPORATED
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 8
Date: 1/19/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
