BT
Brian C. Thompson
NORTHLAND SECURITIES
Leawood, KS 66206
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CRD#: 2252050
BT
Professional summary
Brian Christopher Thompson, who also goes by Brian Christopher Thompson Sr, Brian Thompson, Chris Thompson, is a registered financial advisor currently at NORTHLAND SECURITIES, INC. located in Leawood, Kansas.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Brian has worked at 3 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Brian Christopher Thompson Sr | Brian Thompson | Chris Thompson
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.
1. Country Club Bank, Employee. Investment related, 60% time spent on activity during non-securities hrs. 2. CC Capital Advisors, Inc., One Ward Parkway, Kansa City, MO 64112. Board Member,investment related, 1-20% time spent on activity during securities hrs.
CRS (Client Relationship Summary) - RIA
Click below to view Brian Christopher Thompson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brian Christopher Thompson'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
October 13, 2025 - Present
NORTHLAND SECURITIES, INC.
Office #1: 9400 Mission Road, Leawood, KS 66206RIA
BD
CRD#: 40258
Leawood, KS
Current
October 1, 2025 - Present
NORTHLAND SECURITIES, INC.
Office #1: 9400 Mission Road, Leawood, KS 66206RIA
BD
CRD#: 40258
Leawood, KS
Past
December 2, 2017 - September 30, 2025
MONEY CONCEPTS CAPITAL CORP
RIA
CRD#: 12963
Prairie Village, KS
Past
December 2, 2017 - September 30, 2025
MONEY CONCEPTS CAPITAL CORP
BD
CRD#: 12963
Prairie Village, KS
Past
August 28, 2003 - December 1, 2017
COUNTRY CLUB FINANCIAL SERVICES, LLC
RIA
CRD#: 29807
PRAIRIE VILLAGE, KS
Past
February 10, 1998 - December 1, 2017
COUNTRY CLUB FINANCIAL SERVICES, LLC
BD
CRD#: 29807
PRAIRIE VILLAGE, KS
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
California(10/1/2025)
RR
Florida(10/1/2025)
RR
Iowa(10/1/2025)
RR
Kansas(10/1/2025)
IAR
Kansas(10/13/2025)
RR
Maryland(10/1/2025)
RR
Massachusetts(10/1/2025)
RR
Michigan(10/1/2025)
RR
Minnesota(10/1/2025)
RR
Missouri(10/1/2025)
RR
New York(10/1/2025)
RR
North Carolina(10/1/2025)
RR
Oklahoma(10/1/2025)
RR
South Carolina(10/1/2025)
RR
Texas(10/1/2025)
RR
Utah(10/1/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 10/1/2025
Municipal Securities Representative ExaminationGeneral Industry/Product 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.
Company Information
NORTHLAND SECURITIES, INC.
CRD#: 40258Leawood, KS 66206TRUST BUT VERIFY
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