JC
James R. Carlson
NORTHLAND SECURITIES
MILWAUKEE, WI 53226
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CRD#: 707997
JC
Professional summary
James Richard Carlson is a registered financial advisor currently at NORTHLAND SECURITIES, INC. located in Milwaukee, Wisconsin.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. James has worked at 6 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 5, Series 7, Series 10, Series 9, Series 4, Series 24 and Series 8 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.
1) Tournament Fisherman w/PMTT & WMT, Potential prize money; 15 hours/week during spring/summer 2) ARBITRATOR W/NASD BOARD OF ARBITRATION SINCE 7/1996. BUSINESS OF DISPUTE SETTLEMENT VIA ARBITRATION PROCESS. 32 HRS/YR, MINOR COMPENSATION. 3)Milwaukee Bucks-50/50 Raffle Vendor. sell raffle tickets during games.
CRS (Client Relationship Summary) - RIA
Click below to view James Richard Carlson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Richard Carlson'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
April 8, 2008 - Present
NORTHLAND SECURITIES, INC.
Office #1: 10700 W. Research Drive Suite 4, Milwaukee, WI 53226RIA
BD
CRD#: 40258
MILWAUKEE, WI
Current
November 7, 2007 - Present
NORTHLAND SECURITIES, INC.
Office #1: 10700 W. Research Drive Suite 4, Milwaukee, WI 53226RIA
BD
CRD#: 40258
MILWAUKEE, WI
Past
March 22, 2007 - December 31, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
BD
CRD#: 104476
MILWAUKEE, WI
Past
March 21, 2007 - March 21, 2007
FIRST MIDAMERICA INVESTMENT CORPORATION
RIA
CRD#: 104476
MILWAUKEE, WI
Past
January 15, 2004 - March 26, 2007
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
MILWAUKEE, WI
Past
March 17, 2000 - March 26, 2007
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
MILWAUKEE, WI
Past
February 10, 1987 - March 27, 2000
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
February 22, 1984 - February 13, 1987
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
April 24, 1980 - February 17, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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(11/7/2007)
IAR
California(5/19/2023)
RR
Colorado(10/25/2017)
IAR
Colorado(1/12/2023)
RR
Florida(2/12/2010)
IAR
Florida(4/23/2021)
RR
Georgia(11/1/2017)
RR
Illinois(11/7/2007)
IAR
Illinois(4/8/2008)
RR
Iowa(8/28/2025)
RR
Kansas(11/11/2008)
IAR
Kansas(10/13/2025)
RR
Maryland(1/27/2021)
RR
Minnesota(11/7/2007)
IAR
Minnesota(9/6/2023)
RR
Missouri(5/14/2020)
RR
Montana(1/9/2018)
RR
Nevada(11/11/2008)
RR
New York(2/1/2021)
IAR
New York(7/21/2025)
RR
Vermont(1/3/2023)
RR
Virginia(8/16/2023)
RR
Washington(6/24/2014)
RR
Wisconsin(11/7/2007)
IAR
Wisconsin(1/13/2010)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/15/1984
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
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.
Company Information
NORTHLAND SECURITIES, INC.
CRD#: 40258Milwaukee, WI 53226TRUST BUT VERIFY
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Contact information
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