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Investment Adviser Firm Summary

NORTHLAND SECURITIES, INC. (CRD# 40258 / SEC# 8-48994, 801-96329)
Alternate Names: NORTHLAND ASSET MANAGEMENT , NORTHLAND SECURITIES , NORTHLAND SECURITIES, INC. , ORACLE INVESTMENTS, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/26/2015
Illinois Terminated 05/26/2015
Iowa Terminated 06/30/2015
Minnesota Terminated 05/26/2015
Texas Terminated 05/26/2015
Wisconsin Terminated 05/26/2015

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Arizona 03/28/2018
California 11/27/2015
Florida 06/19/2015
Illinois 05/26/2015
Iowa 05/26/2015
Minnesota 05/26/2015
Missouri 06/19/2015
North Carolina 06/19/2015
Tennessee 06/19/2015
Texas 05/26/2015
Wisconsin 05/26/2015

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser