George D. Appleby
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.
George Douglass Appleby, who also goes by George Douglas Appleby, was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1972. George had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2007 - September 2, 2008
NORTHLAND SECURITIES, INC.
December 17, 2003 - November 18, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
March 8, 1999 - December 31, 2001
COMMONWEALTH FINANCIAL NETWORK
August 31, 1995 - February 8, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 28, 1995 - August 31, 1995
UBS FINANCIAL SERVICES INC.
June 3, 1993 - January 28, 1995
KIDDER, PEABODY & CO. INCORPORATED
January 26, 1993 - May 18, 1993
MAVEN SECURITIES, INC.
May 2, 1989 - December 19, 1992
PRIVATE FINANCIAL, INC.
November 9, 1987 - January 18, 1989
CONGRESS SECURITIES COMPANY
January 3, 1982 - October 20, 1987
SECURITIES RESOLUTION CORPORATION
November 19, 1979 - November 20, 1981
E. F. HUTTON & COMPANY INC
May 1, 1979 - November 26, 1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
May 1, 1972 - February 4, 1973
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
NORTHLAND SECURITIES, INC.
CRD#: 40258 / SEC#: 801-96329, 8-48994
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 1
Date: 4/20/1972
Registered Representative ExaminationCurrent Firm
NORTHLAND SECURITIES, INC.
CRD#: 40258 / SEC#: 801-96329, 8-48994
Contact information
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.
