CO
Craig D. Ostrom
NORTHLAND SECURITIES
MILWAUKEE, WI 53226
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CRD#: 2776796
CO
Professional summary
Craig Donald Ostrom is a registered financial advisor currently at NORTHLAND SECURITIES, INC. located in Milwaukee, Wisconsin.
Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Craig has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
CRS (Client Relationship Summary) - RIA
Click below to view Craig Donald Ostrom's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Craig Donald Ostrom'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
September 13, 2016 - Present
NORTHLAND SECURITIES, INC.
Office #1: 10700 W. Research Drive Suite 4, Milwaukee, WI 53226RIA
BD
CRD#: 40258
MILWAUKEE, WI
Current
November 7, 2007 - Present
NORTHLAND SECURITIES, INC.
Office #1: 10700 W. Research Drive Suite 4, Milwaukee, WI 53226RIA
BD
CRD#: 40258
MILWAUKEE, WI
Past
March 5, 2004 - December 31, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
BD
CRD#: 104476
MILWAUKEE, WI
Past
September 20, 2002 - March 3, 2004
VISION ASSET MANAGEMENT INC
RIA
CRD#: 110412
WAUWATOSA, WI
Past
June 4, 2002 - March 3, 2004
VISION INVESTMENT SERVICES, INC.
BD
CRD#: 46609
ROSEMONT, IL
Past
February 3, 1997 - June 5, 2002
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
ST. LOUIS, MO
Past
August 14, 1996 - January 31, 1997
INVESTORS ASSOCIATES, INC.
BD
CRD#: 958
HACKENSACK, NJ
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
Alabama(11/7/2007)
RR
California(9/29/2022)
IAR
California(9/29/2022)
RR
Florida(1/6/2012)
IAR
Florida(8/3/2021)
IAR
Georgia(4/25/2022)
RR
Illinois(4/14/2022)
RR
Michigan(5/25/2021)
RR
Minnesota(11/7/2007)
IAR
Minnesota(8/9/2021)
RR
Missouri(7/18/2016)
RR
New Mexico(6/19/2018)
RR
New York(4/21/2022)
IAR
New York(7/21/2025)
RR
North Carolina(2/11/2019)
RR
Oklahoma(6/26/2024)
RR
South Carolina(6/4/2015)
RR
Tennessee(11/1/2021)
RR
Texas(11/7/2007)
IAR
Texas(4/8/2025)
RR
Washington(7/7/2025)
RR
Wisconsin(11/7/2007)
IAR
Wisconsin(9/13/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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#: 40258Milwaukee, WI 53226TRUST BUT VERIFY
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