AS
Andrea L. Spraungel
NORTHLAND SECURITIES
MINNEAPOLIS, MN 55402
CRD#: 2159317
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AS
Andrea Lee SpraungelNORTHLAND SECURITIES
Professional summary
Andrea Lee Spraungel, who also goes by Andrea Lee Fliess, Andrea Fliess, Andrea Lee Kirks Mrs, Andrea Lee Kirks, Andrea Lee Spraungel, is a registered financial advisor currently at NORTHLAND SECURITIES, INC. located in Minneapolis, Minnesota.
Andrea is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Andrea has worked at 10 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 10, Series 9, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrea Lee Fliess | Andrea Fliess | Andrea Lee Kirks Mrs | Andrea Lee Kirks | Andrea Lee Spraungel
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) - RIA
Click below to view Andrea Lee Spraungel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Andrea Lee Spraungel'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
May 28, 2026 - Present
NORTHLAND SECURITIES, INC.
Office #1: 150 South 5th Street Suite 3300, Minneapolis, MN 55402Office #2: 150 South 5th Street Suite 3300, Minneapolis, MN 55402RIA
BD
CRD#: 40258
MINNEAPOLIS, MN
Current
May 28, 2026 - Present
NORTHLAND SECURITIES, INC.
Office #1: 150 South 5th Street Suite 3300, Minneapolis, MN 55402Office #2: 150 South Fifth Street Suite 3300, Minneapolis, MN 55402RIA
BD
CRD#: 40258
MINNEAPOLIS, MN
Past
April 26, 2017 - June 9, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Minneapolis, MN
Past
April 26, 2017 - June 9, 2026
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Minneapolis, MN
Past
April 26, 2017 - June 9, 2026
AMERICAN ENTERPRISE INVESTMENT SERVICES INC.
BD
CRD#: 26506
Minneapolis, MN
Past
January 29, 2014 - April 27, 2017
QUESTAR ASSET MANAGEMENT, INC.
RIA
CRD#: 133358
MINNEAPOLIS, MN
Past
July 13, 2009 - April 27, 2017
QUESTAR CAPITAL CORPORATION
BD
CRD#: 43100
MINNEAPOLIS, MN
Past
December 22, 2008 - July 10, 2009
WOODBURY FINANCIAL SERVICES, INC.
BD
CRD#: 421
WOODBURY, MN
Past
September 5, 2008 - December 4, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
MINNEAPOLIS, MN
Past
July 17, 2002 - September 2, 2008
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
January 1, 2001 - July 11, 2002
MILLER JOHNSON STEICHEN KINNARD, INC.
BD
CRD#: 694
MINNEAPOLIS, MN
Past
October 6, 2000 - January 1, 2001
MJK CLEARING, INC.
BD
CRD#: 8678
MINNEAPOLIS, MN
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
IAR
Minnesota(5/28/2026)
RR
Minnesota(6/10/2026)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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.
Company Information
NORTHLAND SECURITIES, INC.
CRD#: 40258Minneapolis, MN 55402TRUST BUT VERIFY
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