0001006938-20-000007.txt : 20200729 0001006938-20-000007.hdr.sgml : 20200729 20200729145738 ACCESSION NUMBER: 0001006938-20-000007 CONFORMED SUBMISSION TYPE: MA-I PUBLIC DOCUMENT COUNT: 1 ROCHE,WILLIAM,M, FILED AS OF DATE: 20200727 DATE AS OF CHANGE: 20200729 FILER: COMPANY DATA: COMPANY CONFORMED NAME: NORTHLAND SECURITIES, INC. CENTRAL INDEX KEY: 0001006938 IRS NUMBER: 411819873 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: MA-I SEC ACT: 1934 Act SEC FILE NUMBER: 868-02725 FILM NUMBER: 201057045 BUSINESS ADDRESS: STREET 1: 150 SOUTH FIFTH STREET STREET 2: SUITE 3300 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 BUSINESS PHONE: (612) 851-5946 MAIL ADDRESS: STREET 1: 150 SOUTH FIFTH STREET STREET 2: SUITE 3300 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 FORMER COMPANY: FORMER CONFORMED NAME: ORACLE INVESTMENTS, INC. DATE OF NAME CHANGE: 20020917 FORMER COMPANY: FORMER CONFORMED NAME: NORTHLAND SECURITIES, INC. DATE OF NAME CHANGE: 20020911 FORMER COMPANY: FORMER CONFORMED NAME: ORACLE INVESTMENTS, INC. DATE OF NAME CHANGE: 20020828 MA-I 1 primary_doc.xml MA-I 0001006938 XXXXXXXX Traci Spanier 612-851-4901 tspanier@northlandsecurities.com N N WILLIAM M ROCHE 1410510 N 1 0001006938 NORTHLAND SECURITIES, INC. 06-30-2020 N 867-00500 SUPERVISED 06-30-2020 150 SOUTH FIFTH STREET SUITE 3300 MINNEAPOLIS MN 55402 06-2020 NORTHLAND SECURITIES, INC MINNEAPOLIS MN 55402 Y Y MANAGING DIRECTOR 03-2019 05-2020 HUNTINGON SECURITIES COLUMBUS OH 43215 Y Y MANAGING DIRECTOR 10-2011 02-2019 HUTCHINSON SHOCKEY ERLEY AND CO COLUMBUS OH 43215 Y Y MANAGING DIRECTOR 11-2009 09-2011 MESIROW CHICAGO IL 60605 N Y MANAGING DIRECTOR N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N N 07-27-2020 WILLIAM ROCHE MANAGING DIRECTOR