0001006938-22-000002.txt : 20220302
0001006938-22-000002.hdr.sgml : 20220302
20220302113529
ACCESSION NUMBER: 0001006938-22-000002
CONFORMED SUBMISSION TYPE: MA-I
PUBLIC DOCUMENT COUNT: 1
BERNBERG,TROY,DANIEL,
FILED AS OF DATE: 20220302
DATE AS OF CHANGE: 20220302
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: 22701931
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 Spaner
612-851-4901
tspanier@northlandsecurities.com
N
N
Troy
Daniel
Bernberg
4563290
N
1
0001006938
NORTHLAND SECURITIES, INC.
NORTHLAND ASSET MANAGEMENT
10-09-2018
N
867-00500
LOCATED
10-09-2018
5251 DTC Parkway
SUITE 1020
Greenwood Village
CO
80111
SUPERVISED
10-09-2018
150 S 5th Street Suite 3300
Minneapolis
MN
55402
10-2018
NORTHLAND SECURITIES
Minneapolis
MN
55410
Y
Y
Managing Director - Public Finance
09-2013
09-2018
UMB Financial Services
Denver
CO
80202
N
Y
VP
05-2013
08-2013
Unemployed
Denver
CO
80202
N
N
na
03-2012
04-2013
Stifel, Nicolaus & Co
Denver
CO
80202
N
Y
public finance
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
03-02-2022
Traci Spanier
Co Chief Compliance Officer