SH
Scott L. Hefle
NORTHLAND SECURITIES
MILWAUKEE, WI 53226
Some features on this profile are disabled
CRD#: 3142286
SH
Professional summary
Scott Louis Hefle is a registered financial advisor currently at NORTHLAND SECURITIES, INC. located in Milwaukee, Wisconsin.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 7 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.
1)LEADERSHIP GERMANTOWN;NOT INVESTMENT RELATED;P.O. BOX 1812,GERMANTOWN,WI;COMMUNITY-BASED LEADERSHIP TRAINING;BOARD MEMBER;6/2009;5 HRS/MONTH;0 HRS DURING TRADING;BOARD VOTING ON ISSUES 2) Business Networking International (348 Napoleon Road, Michigan Center, MI 49254) Director; Networking group, perform chapter visits and assessments, no voting rights, 2 hrs/week with 2 hrs/week during trading hours, no compensation, Not investment related. 3) Economic Development Commission (N112W17007 Mequon Road Germantown, WI 53022) - Commissioner: Provide guidance as directed by the Plan Commission to review economic activity initiatives happening in the Village of Germantown. Review development proposals and initiatives as directed by the Plan Commission and/or Village Board and monitor the business loan pool and beautification efforts. 1 hour/month with 0 during trading hours. No compensation. Not investment related. 4) Utility Advisory Commission (N112W17001 Mequon Road, Germantown, WI 53022) - Commissioner: Provide advisory only input to the Public Works Committee. Takes on utility topics as directed by the Public Works Committee. 4 hours/year with 0 during trading hours. No compensation. Not investment related. 5) Friends of Leadership Germantown, Inc. (N112W16760 Mequon Road, Germantown, WI 53022) - President: To allow a conduit for local corporations and individuals to support the program through ta dectuble 501c3. Meet once a year with officers. 2 hours/year with 0 hours during trading. No compensation. Not investment related. 6) Leadership Germantown Committee (N112W16760 Mequon Road, Germantown, WI 53022)- Committee Member: Assist the Chamber of Commerce in running a leadership training program. Provides direction and support to Chamber of Commerce. 2 hours/month with 1 hour during trading. No compensation. Not investment related. 7) Friends of Germantown K9 (N112W16877 Mequon Road, Germantown, WI 53022) - Director: Raises money to support K9 units as part of Germantown Police Department. Affects policy changes to bylaws of non-profit. 4 hours/month. 0 hours during trading. No compensation. Investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Louis Hefle's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Louis Hefle'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 7, 2022 - Present
NORTHLAND SECURITIES, INC.
Office #1: 10700 W. Research Drive Suite 4, Milwaukee, WI 53226RIA
BD
CRD#: 40258
MILWAUKEE, WI
Current
January 7, 2022 - Present
NORTHLAND SECURITIES, INC.
Office #1: 10700 W. Research Drive Suite 4, Milwaukee, WI 53226RIA
BD
CRD#: 40258
MILWAUKEE, WI
Past
September 29, 2020 - February 5, 2022
OSAIC ADVISORY SERVICES, LLC
RIA
CRD#: 171070
Brookfield, WI
Past
August 7, 2019 - December 31, 2020
OARSMAN CAPITAL, INC
RIA
CRD#: 109993
MILWAUKEE, WI
Past
December 20, 2012 - February 5, 2022
TRIAD ADVISORS LLC
BD
CRD#: 25803
BROOKFIELD, WI
Past
September 18, 2009 - December 19, 2012
EAGLE ONE INVESTMENTS, LLC
BD
CRD#: 45254
WASHINGTON, IA
Past
May 11, 2007 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BROOKFIELD, WI
Past
May 2, 2006 - May 2, 2006
FIRST MIDAMERICA INVESTMENT CORPORATION
RIA
CRD#: 104476
MILWAUKEE, WI
Past
May 2, 2006 - May 14, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
BD
CRD#: 104476
MILWAUKEE, WI
Past
July 6, 2005 - May 1, 2006
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
WAUKESHA, WI
Past
July 6, 2005 - May 1, 2006
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
CHICAGO, IL
Past
September 29, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
BD
CRD#: 16999
CHICAGO, IL
Past
September 11, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
RIA
CRD#: 16999
WAUKESHA, WI
Past
July 1, 2002 - September 11, 2003
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
MILWAUKEE, WI
Past
December 24, 1998 - June 4, 2002
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
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
Arkansas(1/7/2022)
RR
Florida(1/7/2022)
RR
Illinois(1/14/2022)
IAR
Illinois(6/29/2023)
RR
Indiana(1/7/2022)
RR
Michigan(1/7/2022)
RR
Minnesota(1/7/2022)
RR
North Carolina(12/21/2023)
RR
Virginia(1/7/2022)
RR
Wisconsin(1/7/2022)
IAR
Wisconsin(1/7/2022)
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.
Company Information
NORTHLAND SECURITIES, INC.
CRD#: 40258Milwaukee, WI 53226TRUST BUT VERIFY
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