John D. Baasen
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.
John Daniel Baasen, who also goes by Daniel Baasen, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1968. John had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, PC, Series 1, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2015 - December 23, 2025
NORTHLAND SECURITIES, INC.
August 25, 2011 - December 23, 2025
NORTHLAND SECURITIES, INC.
January 3, 2011 - July 26, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 3, 2011 - July 26, 2011
WELLS FARGO CLEARING SERVICES, LLC
September 28, 2004 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
January 12, 2001 - August 12, 2002
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - January 3, 2011
WELLS FARGO INVESTMENTS, LLC
November 17, 1999 - May 7, 2001
WELLS FARGO SECURITIES INC.
November 12, 1999 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
June 18, 1985 - November 19, 1999
PIPER SANDLER & CO.
May 19, 1978 - June 27, 1985
KIDDER, PEABODY & CO. INCORPORATED
February 2, 1978 - May 19, 1978
KIDDER, PEABODY & CO., INCORPORATED
December 16, 1968 - February 16, 1978
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationPC
Date: 9/2/1977
AMEX Put and Call ExamSeries 1
Date: 12/11/1968
Registered Representative ExaminationSeries 8
Date: 12/9/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
