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ES

Ethan S. Sivalingam

Some features on this profile are disabled
CRD#: 7961800
ES

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.

Ethan Scott Sivalingam, who also goes by Ethan Scott Sivalingam, was a registered financial professional .

Ethan is a previously registered financial professional and started their career in finance in 2024. Ethan had worked at 2 firms and has passed the Series 63, Series 65, Series 7TO, Series 52TO, SIE and Series 50 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ethan Scott Sivalingam

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 18, 2025 - March 4, 2026

NORTHLAND SECURITIES, INC.

BD
CRD#: 40258
MINNEAPOLIS, MN
Past

June 26, 2025 - March 4, 2026

NORTHLAND SECURITIES, INC.

RIA
CRD#: 40258
Tampa, FL
Past

September 16, 2024 - January 22, 2025

FISHER INVESTMENTS

RIA
CRD#: 107342
Tampa, FL

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
Series 63
Date: 8/29/2025
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/16/2024
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/16/2026
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 7/18/2025
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/27/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 50
Date: 6/30/2022
Municipal Advisor Representative Qualification Exam

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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#: 40258

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