Individual Firm
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JAMES RICHARD CARLSON
CRD#: 707997
IA
B
NORTHLAND ASSET MANAGEMENTCRD#: 40258 2675 N MAYFAIR RD, SUITE 550
MILWAUKEE, WI 53226
MILWAUKEE, WI 53226
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Disclosures
44
Years of Experience
View By:
State Registrations
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California 11/7/2007
B
Minnesota 11/7/2007
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California 5/19/2023
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Minnesota 9/6/2023
B
Colorado 10/25/2017
B
Missouri 5/14/2020
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Colorado 1/12/2023
B
Montana 1/9/2018
B
Florida 2/12/2010
B
Nevada 11/11/2008
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Florida 4/23/2021
B
New York 2/1/2021
B
Georgia 11/1/2017
B
Vermont 1/3/2023
B
Illinois 11/7/2007
B
Virginia 8/16/2023
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Illinois 4/8/2008
B
Washington 6/24/2014
B
Kansas 11/11/2008
B
Wisconsin 11/7/2007
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Maryland 1/27/2021
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Wisconsin 1/13/2010
SRO Registrations
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IA
Registered with this firm since 4/8/2008
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Registered with this firm since 11/7/2007
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 03/22/2007 - 12/31/2007 | MILWAUKEE, WI | |
IA | 01/15/2004 - 03/26/2007 | MILWAUKEE, WI | |
B | 03/17/2000 - 03/26/2007 | MILWAUKEE, WI | |
IA | 03/21/2007 - 03/21/2007 | MILWAUKEE, WI | |
B | 02/10/1987 - 03/27/2000 | WEEHAWKEN, NJ | |
B | 02/22/1984 - 02/13/1987 | ||
B | 04/24/1980 - 02/17/1984 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.