William M. Roche

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CRD#: 1410510

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.

William Martin Roche was a registered financial professional .

William is a previously registered financial professional and started their career in finance in 1986. William had worked at 7 firms and has passed the Series 63, Series 52TO, SIE, Series 50, Series 7, Series 54, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 2, 2020 - December 13, 2024

NORTHLAND SECURITIES, INC.

CRD#: 40258

St. Clair Shores, MI

Past

October 13, 2011 - May 26, 2020

HUNTINGTON SECURITIES, INC.

CRD#: 2261

ST. CLAIR SHORES, MI

Past

November 23, 2009 - October 14, 2011

MESIROW FINANCIAL, INC.

CRD#: 2764

SAINT CLAIR, MI

Past

March 27, 2007 - October 20, 2009

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

GROSSE POINTE FARMS, MI

Past

December 21, 2005 - March 19, 2007

NATCITY INVESTMENTS, INC.

CRD#: 17490

DETROIT, MI

Past

January 1, 1999 - August 22, 2005

OPPENHEIMER & CO. INC.

CRD#: 249

NEW YORK, NY

Past

September 26, 1986 - January 1, 1999

FIRST OF MICHIGAN CORPORATION

CRD#: 311

DETROIT, MI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NORTHLAND SECURITIES, INC.

N LAND INSURANCE SERVICES | ORACLE INVESTMENTS, INC. | NORTHLAND SECURITIES, INC. | NORTHLAND SECURITIES | NORTHLAND ASSET MANAGEMENT

CRD#: 40258 / SEC#: 801-96329, 8-48994

RIA

Registered Investment Advisory firm - SEC (5/26/2015 Approved)

Illinois

Registered Investment Advisory firm - SEC (5/26/2015 Terminated)

Iowa

Registered Investment Advisory firm - SEC (6/30/2015 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/26/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/26/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (5/26/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 5/5/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 50

Date: 2/12/2016

Municipal Advisor Representative Qualification Exam

General Industry/Product Exam

Series 7

Date: 9/20/1986

General Securities Representative Examination

Principal/Supervisory Exam

Series 54

Date: 1/14/2022

Municipal Advisor Principal Qualification Examination

Principal/Supervisory Exam

Series 24

Date: 8/27/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/6/1991

Municipal Securities Principal Examination

Current Firm

NORTHLAND SECURITIES, INC.

N LAND INSURANCE SERVICES | ORACLE INVESTMENTS, INC. | NORTHLAND SECURITIES, INC. | NORTHLAND SECURITIES | NORTHLAND ASSET MANAGEMENT

CRD#: 40258 / SEC#: 801-96329, 8-48994

RIA

Registered Investment Advisory firm - SEC (5/26/2015 Approved)

Illinois

Registered Investment Advisory firm - SEC (5/26/2015 Terminated)

Iowa

Registered Investment Advisory firm - SEC (6/30/2015 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (5/26/2015 Terminated)

Texas

Registered Investment Advisory firm - SEC (5/26/2015 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (5/26/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

150 South Fifth Street Suite 3300, Minneapolis, MN 55402

Mailing Address

150 South Fifth Street Suite 3300, Minneapolis, MN 55402

Phone number

(612) 851-5900

Established

Minnesota since 09/14/1995

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

SEC notice filing (20 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NORTHLAND RESEARCH SERVICES BROCHURE (10/10/2025)

NORTHLAND ASSET MANAGEMENT BROCHURE (7/2/2025)

NORTHLAND ASSET MANAGEMENT WRAP BROCHURE (7/2/2025)

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

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.

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Firm Stability Insights

William M. Roche

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HUNTINGTON SECURITIES, INC.

MESIROW FINANCIAL, INC.

RAYMOND JAMES & ASSOCIATES, INC.

NATCITY INVESTMENTS, INC.

OPPENHEIMER & CO. INC.

FIRST OF MICHIGAN CORPORATION

Primary Firm SEC Registration

NORTHLAND SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/5/1986

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 50

Date: 2/12/2016

Series 7

Date: 9/20/1986

Series 54

Date: 1/14/2022

Series 24

Date: 8/27/1996

Series 53

Date: 12/6/1991

Current Firm

NORTHLAND SECURITIES, INC.

Contact information

SEC notice filing (20 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NORTHLAND SECURITIES, INC.

TRUST BUT VERIFY

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