Randy Gene Nitzsche
Professional Summary
Randy Gene Nitzsche is a registered financial advisor currently at NORTHLAND SECURITIES, INC. located in Minneapolis, Minnesota. Randy is registered as a RR (Registered Representative) and started their career in finance in 1986. Randy has worked at 5 firms and has passed the Series 63, Series 79TO, Series 99TO, Series 57TO, SIE, Series 87, Series 55, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
N LAND INSURANCE SERVICES | ORACLE INVESTMENTS, INC. | NORTHLAND SECURITIES, INC. | NORTHLAND SECURITIES | NORTHLAND ASSET MANAGEMENT
Contact Information
Main Address
150 South Fifth Street Suite 3300, Minneapolis, MN 55402Mailing Address
150 South Fifth Street Suite 3300, Minneapolis, MN 55402Phone Number
(612) 851-5900Established
Minnesota since 09/14/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Medium# of Employees
22SEC notice filing (21 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
FINRA licenses (52 States and Territories)
Registered to provide investment advisory services in 21 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
1,192AUM (Assets Under Management)
$405,485,183Disclosures
Regulatory Event
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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.
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Primary Firm SEC Registration
N LAND INSURANCE SERVICES | ORACLE INVESTMENTS, INC. | NORTHLAND SECURITIES, INC. | NORTHLAND SECURITIES | NORTHLAND ASSET MANAGEMENT
State Registrations and Notice Filings
(5/5/2004)
(1/19/2016)
(9/14/2002)
(11/1/2002)
(11/12/2003)
(1/31/2008)
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(1/19/2016)
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(9/14/2002)
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(1/31/2008)
(1/19/2016)
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(6/5/2009)
(5/14/2003)
(6/26/2003)
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(9/26/2006)
(1/20/2016)
(9/14/2002)
(1/5/2006)
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(6/19/2003)
(11/9/2022)
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(2/9/2018)
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(1/3/2008)
(2/25/2004)
(9/3/2002)
(11/13/2002)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 87 — Research Analyst Exam - Part II Regulations Module
Passed Jun 2005About the Series 87 examSeries 55 — Limited Representative-Equity Trader Exam
Passed May 2004Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Sep 1986About the Series 6 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Randy Gene Nitzsche's CRS (Customer Relationship Summary).
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