CRD #40258 · FINRA BrokerCheck + SEC IAPD

Northland Securities, Inc.

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Northland Securities, Inc. ranks #1,040 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #12 of 42 on the same disclosure sort used on the state browse page. Northland Securities, Inc. carries 7 BrokerCheck disclosures across 17 branch offices - moderate load for a regional firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
17
branch offices
7
disclosures
#1,040 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 40258 Northland Securities, Inc.

Northland Securities, Inc. · Grade C · 7 disc · 0.41/office · Regional firm

  • CRD 40258
  • GRADE C
  • DISC 7
  • REG 7
  • ARB 0
  • CIV 0
  • BRANCH 17
  • PER-OFF 0.41
  • RANK #1,040 of 20,055
  • BOOK Regional firm

Intensity peers

Nearest same-size peer: Dinosaur Financial Group, L.L.C (0.41 disc/office)

Dinosaur Financial Grou…0.41Insight Securities, Inc.0.39Muriel Siebert & Co., LLC0.44Northland Securitie… (this)0.41
Disclosures per office among regional firm peers (lower is cleaner)

Northland Securities, Inc. ranks #1,040 of 20,055 by disclosure count among graded broker-dealers; moderate load at 0.41 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

17 offices

FINRA: Medium firm

Total disclosures

7 events

On FINRA BrokerCheck

Regulatory events

7 actions

100% of all disclosures

Disclosures per office

0.41 per office

7 ÷ 17 offices

Northland Securities, Inc. vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 64% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). This entry sits in this band. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 7
Arbitrations 0
Civil Events 0
Total 7

Counts for Northland Securities, Inc. reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 7 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
Minneapolis, MN
CRD Number
40258

Regulator-heavy mix

Northland Securities, Inc. in the heavier-disclosure third

Northland Securities, Inc. carries 7 BrokerCheck disclosures across 17 branch offices - a heavier-third raw book among graded firms (#1,040 of 20,055). Regulator-initiated events are 100% of the book (7 regulatory / 0 arbitration / 0 civil).

100% of Northland Securities, Inc.'s 7 disclosures are regulator-initiated (7 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Northland Securities, Inc.'s disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Minnesota cohort · 0.53× state average

Northland Securities, Inc. tracks near the Minnesota disclosure average

Northland Securities, Inc. reports 7 BrokerCheck disclosures, about 0.53× the Minnesota average of 13.1 across 42 graded firms.

In Minnesota, 18 firms carry Grade A and 1 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Minnesota state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Northland Securities, Inc. sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Northland Securities, Inc. ranks #1,040 of 20,055 by disclosure count (most disclosures first). Among firms registered in MN, it ranks #12 of 42 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for Northland Securities, Inc.?
A grade of C reflects Northland Securities, Inc.'s disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (regional firm). It carries 7 total disclosures across 17 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Northland Securities, Inc. have?
Northland Securities, Inc. has 7 total FINRA disclosures, including 7 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Northland Securities, Inc.?
Northland Securities, Inc. operates 17 branch offices and is classified by FINRA as a medium firm, registered in MN (Regional firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Northland Securities, Inc.'s disciplinary record?
You can verify Northland Securities, Inc.'s full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 40258. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Northland Securities, Inc.'s 7 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Northland Securities, Inc. because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Northland Securities, Inc. carries 7 disclosures across 17 branch offices (about 0.41 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Northland Securities, Inc., both outside MN so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.