Charles T. Turner

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CRD#: 450574

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.

Charles Thomas Turner, who also goes by C Thomas Turner, C Tom Turner, Charles T Turner, Tom Turner, was a registered financial professional .

Charles is a previously registered financial professional and started their career in finance in 1973. Charles had worked at 15 firms and has passed the Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

C Thomas Turner | C Tom Turner | Charles T Turner | Tom Turner

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) CT TURNER INC/ BUSINESS ENTITY FOR TAX, INVESTMENT PURPOSES ONLY/ 2%/ MINNETONKA, MN.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

March 6, 2017 - January 20, 2023

NORTHLAND SECURITIES, INC.

RIA

CRD#: 40258

Vero Beach, FL

Past

March 6, 2017 - January 20, 2023

NORTHLAND SECURITIES, INC.

CRD#: 40258

MINNEAPOLIS, MN

Past

August 2, 2016 - March 3, 2017

STRATEGIC WEALTH GROUP

RIA

CRD#: 284430

MINNETONKA, MN

Past

August 2, 2016 - March 15, 2017

LPL FINANCIAL LLC

CRD#: 6413

MINNETONKA, MN

Past

May 5, 2014 - August 8, 2016

CETERA ADVISORS LLC

RIA

CRD#: 10299

MINNETONKA, MN

Past

May 1, 2014 - August 8, 2016

CETERA ADVISORS LLC

CRD#: 10299

MINNETONKA, MN

Past

January 31, 2014 - December 10, 2014

ARCH ASSET MANAGEMENT INC

RIA

CRD#: 107357

VERO BEACH, FL

Past

May 9, 2005 - May 1, 2014

FELTL & COMPANY

CRD#: 6905

EDINA, MN

Past

January 4, 1999 - May 12, 2005

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

February 11, 1997 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

January 31, 1997 - February 14, 1997

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

February 3, 1989 - January 31, 1997

KEOGLER, MORGAN & COMPANY, INC.

CRD#: 16546

ATLANTA, GA

Past

November 2, 1988 - February 17, 1989

CAREY JAMISON & COMPANY

CRD#: 14129

Past

March 23, 1987 - October 31, 1988

HIBBARD BROWN & CO., INC.

CRD#: 18246

Past

July 10, 1973 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

July 10, 1973 - March 25, 1987

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

July 10, 1973 - April 7, 1987

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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".

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)

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/20/1989

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 7/5/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/23/1997

General Securities Principal Examination

Current Firm

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)

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

SEC notice filing (20 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NORTHLAND RESEARCH SERVICES BROCHURE (10/10/2025)

NORTHLAND ASSET MANAGEMENT BROCHURE (7/2/2025)

NORTHLAND ASSET MANAGEMENT WRAP BROCHURE (7/2/2025)

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

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Charles T. Turner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NORTHLAND SECURITIES, INC.

STRATEGIC WEALTH GROUP

LPL FINANCIAL LLC

CETERA ADVISORS LLC

CETERA ADVISORS LLC

ARCH ASSET MANAGEMENT INC

FELTL & COMPANY

RAYMOND JAMES FINANCIAL SERVICES, INC.

ROBERT THOMAS SECURITIES, INC

OSAIC WEALTH, INC.

KEOGLER, MORGAN & COMPANY, INC.

CAREY JAMISON & COMPANY

HIBBARD BROWN & CO., INC.

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

NORTHLAND SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/20/1989

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 1

Date: 7/5/1973

Series 24

Date: 4/23/1997

Current Firm

NORTHLAND SECURITIES, INC.

Contact information

SEC notice filing (20 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

NORTHLAND SECURITIES, INC.

TRUST BUT VERIFY

Contact information

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