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