RE
Randy P. Ekenberg
NORTHLAND SECURITIES
Minneapolis, MN 55402
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CRD#: 4971164
RE
Professional summary
Randy Patrick Ekenberg is a registered financial advisor currently at NORTHLAND SECURITIES, INC. located in Minneapolis, Minnesota.
Randy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Randy has worked at 8 firms and has passed the Series 66, SIE, Series 7, Series 26 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 Randy Patrick Ekenberg's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Randy Patrick Ekenberg'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 27, 2019 - Present
NORTHLAND SECURITIES, INC.
Office #1: 150 South Fifth Street Suite 3300, Minneapolis, MN 55402Office #2: 150 South 5th Street Suite 3300, Minneapolis, MN 55402RIA
BD
CRD#: 40258
Minneapolis, MN
Current
September 24, 2019 - Present
NORTHLAND SECURITIES, INC.
Office #1: 150 South Fifth Street Suite 3300, Minneapolis, MN 55402Office #2: 150 South 5th Street Suite 3300, Minneapolis, MN 55402RIA
BD
CRD#: 40258
Minneapolis, MN
Past
October 11, 2013 - December 3, 2018
U.S. BANCORP INVESTMENTS, INC.
RIA
CRD#: 17868
SAINT PAUL, MN
Past
October 2, 2013 - December 3, 2018
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Past
March 13, 2012 - August 8, 2012
FIRST CLEARING, LLC
BD
CRD#: 17344
ST. LOUIS, MO
Past
January 3, 2011 - March 19, 2012
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
MINNEAPOLIS, MN
Past
January 3, 2011 - March 19, 2012
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MINNEAPOLIS, MN
Past
April 16, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
MINNEAPOLIS, MN
Past
April 16, 2010 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
MINNEAPOLIS, MN
Past
September 4, 2007 - September 3, 2008
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
MINNEAPOLIS, MN
Past
September 4, 2007 - September 3, 2008
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
MINNEAPOLIS, MN
Past
January 23, 2006 - February 26, 2007
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
PHOENIX, AZ
Past
January 6, 2006 - February 26, 2007
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PHOENIX, AZ
Past
September 14, 2005 - November 11, 2005
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 14, 2005 - November 11, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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
Minnesota(9/27/2019)
IAR
Minnesota(9/27/2019)
RR
Wisconsin(9/30/2019)
IAR
Wisconsin(9/30/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
