ML
Michael D. Leonard
NORTHLAND SECURITIES
Minneapolis, MN 55402
Some features on this profile are disabled
CRD#: 728226
ML
Professional summary
Michael David Leonard is a registered financial advisor currently at NORTHLAND SECURITIES, INC. located in Minneapolis, Minnesota.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1981. Michael has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 15, Series 5, Series 3, Series 7, Series 10, Series 9, Series 8, Series 53 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.
1) MDL CONSULTING SERVICES LLC, CEO, BUSINESS AND SALES CONSULTING, NOT INVESTMENT RELATED, PLYMOUTH, MN, 10 HRS PER MONTH, NOT DURING MARKET HOURS SINCE JUNE 2013
2) CONCIERGE SERVICES BY SARA-ANN LLC, ADVISER, PROVIDER OF CONCIERGE SERVICES, NOT INVESTMENT RELATED, MINNEAPOLIS, MN, 5 HRS PER MONTH, NOT DURING MARKET HOURS, SINCE MARCH 2017
CRS (Client Relationship Summary) - RIA
Click below to view Michael David Leonard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael David Leonard'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
October 11, 2017 - 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
October 11, 2017 - Present
NORTHLAND SECURITIES, INC.
Office #1: 150 South Fifth Street Suite 3300, Minneapolis, MN 55402Office #2: 150 South Fifth Street Suite 3300, Minneapolis, MN 55402RIA
BD
CRD#: 40258
Minneapolis, MN
Past
October 8, 2002 - October 11, 2017
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
RIA
CRD#: 42941
GOLDEN VALLEY, MN
Past
July 22, 2002 - October 11, 2017
THE OAK RIDGE FINANCIAL SERVICES GROUP, INC.
BD
CRD#: 42941
GOLDEN VALLEY, MN
Past
August 23, 1994 - August 2, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
November 15, 1988 - August 17, 1994
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
February 1, 1988 - November 12, 1988
OBERWEIS SECURITIES, INC.
BD
CRD#: 7739
Past
August 18, 1987 - February 1, 1988
ENGLER-BUDD & COMPANY INC.
BD
CRD#: 1743
Past
November 3, 1983 - August 11, 1987
M. H. NOVICK & CO., INC.
BD
CRD#: 6293
Past
April 13, 1981 - October 10, 1983
PIPER SANDLER & CO.
BD
CRD#: 665
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
Arizona(10/12/2017)
IAR
Arizona(7/10/2020)
IAR
California(1/12/2021)
RR
California(2/28/2024)
IAR
Colorado(1/13/2023)
RR
Florida(6/30/2022)
IAR
Florida(6/30/2022)
RR
Illinois(10/12/2017)
IAR
Illinois(10/12/2017)
RR
Iowa(8/18/2022)
RR
Louisiana(6/11/2024)
RR
Maryland(10/12/2017)
IAR
Minnesota(10/11/2017)
RR
Minnesota(10/12/2017)
RR
Missouri(3/21/2023)
IAR
Ohio(5/5/2025)
RR
Oregon(6/24/2024)
RR
Texas(2/12/2020)
IAR
Texas(2/12/2020)
IAR
Washington(9/24/2024)
RR
Wisconsin(10/12/2017)
IAR
Wisconsin(7/30/2018)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 11/30/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 15
Date: 7/28/1998
Foreign Currency Options ExaminationGeneral Industry/Product Exam
RR
Series 5
Date: 10/31/1997
Interest Rate Options ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 11/29/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
Principal/Supervisory Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
