TB
Timothy P. Braun
NORTHLAND SECURITIES
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 2185039
TB
Professional summary
Timothy Peter Braun, who also goes by Tim Braun, is a registered financial advisor currently at NORTHLAND SECURITIES, INC. located in Minneapolis, Minnesota.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Timothy has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tim Braun
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.
Braemar ice arena, Zamboni driver, 1701 Ikola Way, Edina MN, not investment related, no client involvement, 8 hours a week, $17 an hour
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Peter Braun's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Peter Braun'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
January 27, 2022 - Present
NORTHLAND SECURITIES, INC.
Office #1: 150 South 5th Street Suite 3300, Minneapolis, MN 55402RIA
BD
CRD#: 40258
Minneapolis, MN
Current
January 27, 2022 - Present
NORTHLAND SECURITIES, INC.
Office #1: 150 South Fifth Street Suite 3300, Minneapolis, MN 55402RIA
BD
CRD#: 40258
Minneapolis, MN
Past
October 9, 2020 - January 26, 2022
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 42941
Woodbury, MN
Past
October 9, 2020 - January 26, 2022
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 42941
Woodbury, MN
Past
April 19, 2007 - October 20, 2020
RBC CAPITAL MARKETS, LLC
RIA
CRD#: 31194
ST. PAUL, MN
Past
April 19, 2007 - October 20, 2020
RBC CAPITAL MARKETS, LLC
BD
CRD#: 31194
ST. PAUL, MN
Past
April 24, 1998 - April 23, 2007
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
EDINA, MN
Past
November 29, 1993 - April 27, 1998
JOHN G. KINNARD AND COMPANY, INCORPORATED
BD
CRD#: 466
MINNEAPOLIS, MN
Past
December 19, 1991 - December 6, 1993
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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
RR
Arizona(1/27/2022)
IAR
Arizona(8/3/2022)
RR
California(1/27/2022)
IAR
California(4/26/2022)
RR
Colorado(1/27/2022)
IAR
Colorado(12/15/2022)
RR
Florida(1/27/2022)
IAR
Florida(9/23/2022)
RR
Georgia(1/27/2022)
IAR
Georgia(4/25/2022)
RR
Idaho(1/27/2022)
RR
Illinois(1/27/2022)
IAR
Illinois(5/3/2022)
RR
Iowa(1/27/2022)
IAR
Iowa(4/27/2022)
RR
Kentucky(1/27/2022)
RR
Minnesota(1/27/2022)
IAR
Minnesota(1/27/2022)
RR
Montana(2/20/2025)
RR
Nebraska(1/27/2022)
RR
New York(1/27/2022)
RR
Oregon(1/27/2022)
RR
Pennsylvania(1/27/2022)
RR
South Dakota(1/27/2022)
IAR
South Dakota(12/15/2022)
RR
Texas(1/27/2022)
RR
Utah(1/27/2022)
RR
Vermont(1/27/2022)
IAR
Vermont(7/22/2024)
RR
Virginia(1/27/2022)
RR
Washington(1/27/2022)
IAR
Washington(4/26/2022)
RR
Wisconsin(1/27/2022)
IAR
Wisconsin(4/26/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
