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JF

Joshua T. Falconer

NORTHLAND SECURITIES
Omaha, NE 68197
Some features on this profile are disabled
CRD#: 5608302
JF
Joshua T FalconerNORTHLAND SECURITIES

Professional summary

Joshua T Falconer, who also goes by Joshua Thomas Falconer, Joshua Falconer, is a registered financial professional currently at NORTHLAND SECURITIES, INC. located in Omaha, Nebraska.

Joshua is registered as a RR (Registered Representative) and started their career in finance in 2008. Joshua has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Aliases

Joshua Thomas Falconer | Joshua Falconer

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joshua T Falconer's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 14, 2026 - Present

NORTHLAND SECURITIES, INC.

Office #1: 1601 Dodge Street Stop 3284, Omaha, NE 68197
RIA
BD
CRD#: 40258
Omaha, NE
Past

January 6, 2014 - October 20, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Minneapolis, MN
Past

January 3, 2014 - October 20, 2021

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Minneapolis, MN
Past

May 1, 2012 - October 31, 2012

WADDELL & REED

RIA
CRD#: 866
SPOKANE, WA
Past

May 1, 2012 - October 31, 2012

WADDELL & REED

BD
CRD#: 866
SPOKANE, WA
Past

April 22, 2010 - May 2, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
SPOKANE, WA
Past

April 22, 2010 - May 2, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
SPOKANE, WA
Past

December 22, 2008 - March 19, 2010

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SPOKANE, WA
Past

December 5, 2008 - March 19, 2010

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SPOKANE, WA

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/19/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 6/14/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/4/2008
General Securities Representative Examination
SRO Registrations
RR
FINRA

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)

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

NamePositionCRD#
NORTHLAND CAPITAL HOLDINGS, INC.DIRECT OWNER
ALDEN, DUSTIN RICHARDCHIEF FINANCIAL OFFICER, FINOP6131554
COTA, DAVID EDIRECTOR2866911
HENN, TIFFANY DAWNDIRECTOR5515577
NITZSCHE, RANDY GENECEO, PRESIDENT1558954
SPANIER, TRACI LEECO-CHIEF COMPLIANCE OFFICER2897659
TEIGLAND, MANDY MARIECO-CHIEF COMPLIANCE OFFICER4870219
WADE, STEPHEN CURTISDIRECTOR2416612

Regulatory assets under management

Total Number of Accounts1,068
AUM (Assets Under Management)$ 359,889,042

Disclosures

Regulatory Event7

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#: 40258Omaha, NE 68197

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