Richard J. Nordlund
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard John Nordlund, who also goes by Dick Nordlund, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1969. Richard had worked at 11 firms and has passed the Series 63, Series 72, Series 7TO, Series 99TO, SIE, Series 1, Series 24, Series 27, Series 4 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2005 - January 6, 2023
COLLIERS SECURITIES LLC
November 9, 2001 - May 13, 2005
MARSHALL FINANCIAL, INC.
January 14, 1994 - November 9, 2001
SECURITIES RESOLUTION CORPORATION
January 10, 1994 - January 13, 1994
JOHN G. KINNARD AND COMPANY, INCORPORATED
February 24, 1989 - January 10, 1994
MOORE, JURAN AND COMPANY, INC.
June 20, 1978 - May 3, 1989
FIRST CORPORATE BROKERAGE SERVICES, INC.
September 16, 1977 - December 23, 1983
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
August 17, 1972 - May 1, 1973
M. H. NOVICK & CO., INC.
December 4, 1969 - February 27, 1976
BACHE & CO., INCORPORATED
Primary Firm SEC Registration
COLLIERS SECURITIES LLC
CRD#: 7477 / SEC#: 801-80233, 8-21937
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 1
Date: 12/1/1969
Registered Representative ExaminationSeries 00
Date: 8/10/1972
General Securities Principal ExaminationCurrent Firm
COLLIERS SECURITIES LLC
CRD#: 7477 / SEC#: 801-80233, 8-21937
Contact information
SEC notice filing (15 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COLLIERS MORTGAGE HOLDINGS LLC | DIRECT OWNER | |
| HABLE, DEBORAH MARIE | OPERATIONS MANAGER | 1596570 |
| HINIKER, JAMES JOHN III | SVP | 2148843 |
| JACOBSON, JEFFREY DUANE | EVP, CHIEF OPERATING OFFICER & BOARD MEMBER | 1976541 |
| JOHNSON, MARK KENNETH | VP, BRANCH MANAGER, CHIEF SUPERVISION OFFICER | 1433801 |
| JURAN, DAVID BRAMLEY | CHAIRMAN OF THE BOARD | 2166483 |
| MULLEN, DAVID THOMAS | EVP, BOARD MEMBER | 1273590 |
| NORRIS, ROGER ALLAN | SVP, REGISTERED OPTIONS PRINCIPAL | 2201413 |
| STEICHEN, THOMAS FRANCIS | EVP, CCO & GENERAL COUNSEL, BOARD MEMBER | 6920110 |
| THEIS, CRAIG DANIEL | SVP, BOARD MEMBER | 4365341 |
| VAN HANDEL, REBECCA | CHIEF FINANCIAL OFFICER & FINOP | 7558187 |
Regulatory assets under management
| Total Number of Accounts | 1,016 |
| AUM (Assets Under Management) | $ 280,660,825 |
Disclosures
| Regulatory Event | 25 |
| Arbitration | 10 |
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.
