Thomas P. Casper

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CRD#: 2074247

Professional summary

Thomas Philip Casper was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Thomas is a previously registered financial advisor and started their career in finance in 1990. Prior to being barred, Thomas had worked at 5 firms, which includes NORTHLAND SECURITIES INC., STIFEL NICOLAUS & COMPANY INCORPORATED, RBC CAPITAL MARKETS LLC, DAIN RAUSCHER INCORPORATED, UBS FINANCIAL SERVICES INC..

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Philip Casper Jr | Thomas Casper Jr. | Thomas Casper

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

November 9, 2010 - December 16, 2011

NORTHLAND SECURITIES, INC.

RIA

CRD#: 40258

MILWAUKEE, WI

Past

November 8, 2010 - December 16, 2011

NORTHLAND SECURITIES, INC.

CRD#: 40258

MILWAUKEE, WI

Past

July 1, 2004 - November 11, 2010

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RIA

CRD#: 793

OCONOMOWOC, WI

Past

July 1, 2004 - November 11, 2010

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

OCONOMOWOC, WI

Past

March 2, 1998 - July 26, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

April 8, 1996 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

August 8, 1990 - April 22, 1996

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

IAR

Series 65

Date: 12/22/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/3/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/27/1990

General Securities Representative 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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Thomas P. Casper

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHLAND SECURITIES, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

STIFEL, NICOLAUS & COMPANY, INCORPORATED

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

NORTHLAND SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/22/1999

Series 63

Date: 8/3/1990

Series 7

Date: 7/27/1990

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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