JR
Joseph M. Robertson
NORTHLAND SECURITIES
Columbus, OH 43215
Some features on this profile are disabled
CRD#: 2166214
JR
Professional summary
Joseph Milan Robertson, who also goes by Joseph Robertson, is a registered financial professional currently at NORTHLAND SECURITIES, INC. located in Columbus, Ohio.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1991. Joseph has worked at 6 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 50, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joseph Robertson
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.
ALL INFORMATION IS ON FILE WITH FIRM AND AVAILABLE UPON REQUEST FROM FINRA - MONROE TOWNSHIP (LICKING COUNTY), OHIO - JOHNSTOWN YOUTH ATHLETIC ASSOCIATION (JYAA) - GROW LICKING COUNTY - LDR MGT, LLC - TRUPIC MEDIA, LLC DBA IVUEIT - TIMBER RUN FARM, LLC - CHEVAL FARM, LLC - STONE KEY CORP. - SKC HOLDING I, LLC - SKC HOLDINGS II, LLC - SKC HOLDINGS III, LLC - SKC HOLDINGS IV, LLC - SKC HOLDINGS V, LLC - FAIRWAY 57 HOLDINGS, LLC - CAMBRIDGE APTS, LLC - SL APTS, LLC - THORN VILLAGE, LLC - WELSH VIEW & 40TH APTS, LLC - HH APTS, LLC - QC APTS, LLC - OAK HAVEN APTS, LLC - SOUTH ZANE APTS, LLC - CRYSTAL TERRACE APTS, LLC - THE JC ROBERTSON - ALR TRUST - WINCE ROBERTSON DEVELOPMENT LLC - LICKING COUNTY PLANNING COMMISSION (BOARD MEMBER)
CRS (Client Relationship Summary) - BD
Click below to view Joseph Milan Robertson'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 7, 2022 - Present
NORTHLAND SECURITIES, INC.
Office #1: 175 South Third Street Suite 340, Columbus, OH 43215RIA
BD
CRD#: 40258
Columbus, OH
Past
November 20, 2018 - November 28, 2022
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
Powell, OH
Past
November 20, 2018 - November 28, 2022
HILLTOP SECURITIES INC.
BD
CRD#: 6220
Powell, OH
Past
November 17, 2014 - November 20, 2018
ROSS, SINCLAIRE & ASSOCIATES, LLC
RIA
CRD#: 25440
Powell, OH
Past
January 21, 2011 - November 20, 2018
ROSS, SINCLAIRE & ASSOCIATES, LLC
BD
CRD#: 25440
Powell, OH
Past
June 15, 2007 - September 16, 2010
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
COLUMBUS, OH
Past
May 18, 1993 - June 19, 2007
SEASONGOOD & MAYER
BD
CRD#: 3321
COLUMBUS, OH
Past
December 19, 1991 - November 10, 1992
BANC ONE CAPITAL MARKETS, INC.
BD
CRD#: 27267
COLUMBUS, OH
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
California(12/7/2022)
RR
Florida(12/7/2022)
RR
Minnesota(12/7/2022)
RR
New York(12/7/2022)
RR
Ohio(12/7/2022)
Exams
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General 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.
