CG
Cathleen A. Gillies
NORTHLAND SECURITIES
Greenwood Village, CO 80111
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CRD#: 1703208
CG
Professional summary
Cathleen Ann Gillies, who also goes by Cathleen Ann Cudzilo, Cathy Cudzilo, Cathleen A Gillies, is a registered financial professional currently at NORTHLAND SECURITIES, INC. located in Greenwood Village, Colorado.
Cathleen is registered as a RR (Registered Representative) and started their career in finance in 1994. Cathleen has worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Cathleen Ann Cudzilo | Cathy Cudzilo | Cathleen A Gillies
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 Cathleen Ann Gillies'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
December 14, 2020 - Present
NORTHLAND SECURITIES, INC.
Office #1: 5251 Dtc Parkway Suite 1020, Greenwood Village, CO 80111RIA
BD
CRD#: 40258
Greenwood Village, CO
Past
August 5, 2020 - December 10, 2020
ECOBAN SECURITIES CORPORATION
BD
CRD#: 29112
NEW ROCHELLE, NY
Past
June 15, 2015 - April 30, 2020
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
DENVER, CO
Past
September 11, 2006 - June 12, 2015
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
DENVER, CO
Past
August 2, 2004 - July 14, 2006
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
SAN FRANCISCO, CA
Past
April 7, 1995 - August 2, 2004
BANC ONE CAPITAL MARKETS, INC.
BD
CRD#: 23065
CHICAGO, IL
Past
May 23, 1994 - March 20, 1995
THE CHICAGO CORPORATION
BD
CRD#: 1449
CHICAGO, IL
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(12/14/2020)
RR
California(12/14/2020)
RR
Colorado(12/14/2020)
RR
Florida(5/31/2022)
RR
Idaho(1/19/2021)
RR
Illinois(1/19/2021)
RR
Kansas(9/8/2025)
RR
Massachusetts(11/22/2022)
RR
Michigan(7/25/2023)
RR
Minnesota(12/14/2020)
RR
Missouri(12/14/2020)
RR
Ohio(6/1/2022)
RR
Utah(12/14/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
