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