Adam T. Weisman
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.
Adam Thomas Weisman was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1990. Adam had worked at 8 firms and has passed the Series 63, SIE, Series 55, Series 7 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
April 30, 2014 - April 5, 2016
NORTHLAND SECURITIES, INC.
November 1, 2011 - September 19, 2013
MKM PARTNERS LLC
June 16, 2010 - September 9, 2011
GLEACHER & COMPANY SECURITIES, INC.
March 3, 2003 - June 25, 2010
BROADPOINT AMTECH, INC.
May 28, 2002 - February 27, 2003
DEUTSCHE BANK SECURITIES INC.
March 9, 1995 - June 6, 2002
SOUNDVIEW TECHNOLOGY CORPORATION
May 20, 1992 - March 1, 1995
INTESA SANPAOLO IMI SECURITIES CORP.
February 13, 1990 - February 12, 1992
CIBC WORLD MARKETS CORP.
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: 4/20/2000
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.
