Alfred J. Sollami

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CRD#: 2137426

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.

Alfred Joseph Sollami JR was a registered financial professional .

Alfred is a previously registered financial professional and started their career in finance in 1991. Alfred had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

March 13, 2015 - April 6, 2016

NORTHLAND SECURITIES, INC.

CRD#: 40258

Boston, MA

Past

December 10, 2003 - March 23, 2015

SUMMER STREET RESEARCH PARTNERS

CRD#: 127142

BOSTON, MA

Past

December 18, 2002 - December 18, 2003

THE CONCORD EQUITY GROUP, LLC

CRD#: 14569

ISELIN, NJ

Past

November 2, 1995 - December 11, 2002

LEERINK PARTNERS LLC

CRD#: 39011

BOSTON, MA

Past

May 19, 1995 - November 15, 1995

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

CRD#: 11025

ST. LOUIS, MO

Past

April 18, 1991 - June 14, 1995

DETWILER FENTON & CO.

CRD#: 1794

BOSTON, MA

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

Series 63

Date: 4/18/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/6/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1991

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/14/1995

General Securities Principal 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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Firm Stability Insights

Alfred J. Sollami

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SUMMER STREET RESEARCH PARTNERS

THE CONCORD EQUITY GROUP, LLC

LEERINK PARTNERS LLC

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

DETWILER FENTON & CO.

Primary Firm SEC Registration

NORTHLAND SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/18/1991

SIE

Date: 4/6/2016

Series 7

Date: 4/16/1991

Series 24

Date: 9/14/1995

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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