ES
Edward G. Schmitz
NORTHLAND SECURITIES
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 1609890
ES
Professional summary
Edward Gregory Schmitz, who also goes by Ed Schmitz, is a registered financial professional currently at NORTHLAND SECURITIES, INC. located in Minneapolis, Minnesota.
Edward is registered as a RR (Registered Representative) and started their career in finance in 1987. Edward has worked at 11 firms and has passed the Series 65, Series 63, Series 79TO, Series 57TO, SIE, Series 55, Series 7, Series 10 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Ed Schmitz
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.
CRS (Client Relationship Summary) - BD
Click below to view Edward Gregory Schmitz's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 6, 2023 - Present
NORTHLAND SECURITIES, INC.
Office #1: 150 South Fifth Street Suite 3300, Minneapolis, MN 55402RIA
BD
CRD#: 40258
Minneapolis, MN
Past
February 16, 2022 - May 5, 2023
BTIG, LLC
BD
CRD#: 122225
New York, NY
Past
October 23, 2012 - February 11, 2022
OPPENHEIMER & CO. INC.
RIA
CRD#: 249
NEW YORK, NY
Past
January 19, 2012 - February 11, 2022
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
March 18, 2011 - January 4, 2012
GLOBAL HUNTER SECURITIES, LLC
BD
CRD#: 123003
NEW YORK, NY
Past
February 23, 2010 - January 20, 2011
HUDSON SECURITIES,INC.
BD
CRD#: 10467
JERSEY CITY, NJ
Past
February 9, 2009 - April 29, 2009
THE BENCHMARK COMPANY, LLC
BD
CRD#: 22982
NEW YORK, NY
Past
March 21, 2007 - February 10, 2009
RODMAN & RENSHAW, LLC
BD
CRD#: 16415
NEW YORK, NY
Past
October 21, 1997 - November 8, 2006
BMO CAPITAL MARKETS CORP.
BD
CRD#: 16686
NEW YORK, NY
Past
November 13, 1991 - September 30, 1997
DEUTSCHE IXE, LLC
BD
CRD#: 7172
NEW YORK, NY
Past
May 24, 1988 - November 18, 1991
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
NEW YORK, NY
Past
February 26, 1987 - May 24, 1988
TROSTER SINGER CORPORATION
BD
CRD#: 7441
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".
NS
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)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/4/2024)
RR
California(7/11/2023)
RR
Colorado(7/28/2023)
RR
Connecticut(7/17/2023)
RR
Florida(7/11/2023)
RR
Georgia(7/31/2023)
RR
Illinois(7/12/2023)
RR
Kentucky(8/15/2023)
RR
Maryland(7/13/2023)
RR
Massachusetts(7/11/2023)
RR
Michigan(1/5/2024)
RR
Minnesota(7/11/2023)
RR
Nevada(7/17/2023)
RR
New Jersey(7/10/2023)
RR
New York(7/10/2023)
RR
North Carolina(8/4/2023)
RR
Oklahoma(1/8/2024)
RR
Pennsylvania(7/28/2023)
RR
Rhode Island(1/4/2024)
RR
Tennessee(1/9/2024)
RR
Texas(7/10/2023)
RR
Utah(1/4/2024)
RR
Washington(1/3/2024)
RR
Wisconsin(8/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 11/23/1998
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
NS
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)BD
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
24
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.
