EP
Eric R. Prall
NORTHLAND SECURITIES
Columbus, OH 43215
Some features on this profile are disabled
CRD#: 4661975
EP
Professional summary
Eric Ralph Prall, who also goes by Eric Prall, is a registered financial advisor currently at NORTHLAND SECURITIES, INC. located in Columbus, Ohio.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Eric has worked at 4 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 50 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Eric Prall
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.
All information is on file and available upon request. HH Apts., LLC - QC Apts., LLC - Oak Haven Apts., LLC - South Zane Apts., LLC - Fairway 57 Holdings, LLC Cambridge Apts., LLC - SL Apts., LLC - Thorn Village Apts., LLC - Brookridge Apartments -- Kristina Drive, LLC - Pumpkin Patch, LLC - Homewood Apts., LLC - CS Apts., LLC - St. George's Court Condo Association - Treasurer - 1412-1414 Virginia Ave. Welshview and 40th Apts, LLC (added 4/2025 as a member) Rental Properties. Occassional calls to discuss operations of rental property. Investment related.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Ralph Prall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Ralph Prall'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
December 8, 2022 - Present
NORTHLAND SECURITIES, INC.
Office #1: 175 South Third Street Suite 340, Columbus, OH 43215RIA
BD
CRD#: 40258
Columbus, OH
Current
December 7, 2022 - Present
NORTHLAND SECURITIES, INC.
Office #1: 175 South Third Street Suite 340, Columbus, OH 43215RIA
BD
CRD#: 40258
Columbus, OH
Past
November 19, 2018 - November 28, 2022
HILLTOP SECURITIES INC.
RIA
CRD#: 6220
Powell, OH
Past
November 19, 2018 - November 28, 2022
HILLTOP SECURITIES INC.
BD
CRD#: 6220
Powell, OH
Past
February 11, 2011 - November 20, 2018
ROSS, SINCLAIRE & ASSOCIATES, LLC
RIA
CRD#: 25440
Powell, OH
Past
February 26, 2009 - November 20, 2018
ROSS, SINCLAIRE & ASSOCIATES, LLC
BD
CRD#: 25440
Powell, OH
Past
April 19, 2007 - March 5, 2009
BUTLER, WICK & CO., INC.
RIA
CRD#: 120
COLUMBUS, OH
Past
August 5, 2003 - March 5, 2009
BUTLER, WICK & CO., INC.
BD
CRD#: 120
YOUNGSTOWN, OH
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(12/7/2022)
RR
Florida(12/7/2022)
RR
Illinois(12/7/2022)
RR
Minnesota(12/7/2022)
IAR
Minnesota(12/8/2022)
RR
New York(12/7/2022)
RR
Ohio(12/7/2022)
RR
Texas(12/7/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
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.
