NORTHLAND SECURITIES, INC.
MINNEAPOLIS, MN

Northland Securities Northland Securities, Inc. is a full service broker-dealer with offices in six states. The company was formed in September 2002 and is headquartered in Minneapolis, MN. Since the origin of the company in October 2002, Northland Securities and its affiliates have underwritten over $4 billion of notes and securities, primarily tax-exempt municipal bonds. The organization has approximately 180 employees, 39 of whom are shareholders of the company. Clearing Services for clients of Northland Securities are provided by Pershing LLC, a BNY Mellon company. Pershing and its global affiliates hold approximately $1.5 trillion in global client assets and net capital of $2 billion. The Bank of New York Mellon has equity capital of over $38 billion, with total assets over $377 billion. (Source: Pershing.com, 9/30/15.) Northland Securities, Inc. is approved for all types of municipal underwritings. Its specialists include five fixed income traders, thirty fixed income investment brokers, and nineteen fixed income investment bankers. Northland Securities, Inc. has acted as the underwriter or financial advisor on bond issues for over 200 Midwest communities. Northland’s largest bond underwriting as sole manager was for $93,375,000. Institutional equity research and trading is a focus for the company, with over 20 employees dedicated to this area. In addition, Northland corporate finance professionals provide services to growing companies. Northland has over 5000 individual client investment accounts, and does business with over 300 Midwest community banks, as well as other large institutional investors. Tom Bartzen has over 30 years of experience and has covered all aspects of the securities business, from trading to management. He is especially noted in the bond industry for his abilities as a municipal bond credit analyst. Thanks to his leadership, a careful evaluation of investment opportunities is a core strength of Northland Securities. Beginning his career at the Chicago Stock Exchange, Randy later became involved in the securities clearing business. This led him to Minneapolis in 1999, where he became CEO of an online brokerage firm. Randy brings to Northland Securities a diverse background in administration of brokerage services. For over twenty years, Mark worked with a team of investment professionals pursuing fixed income transactions throughout the country. During recent years, his business has focused on providing capital to healthcare and commercial ventures through numerous tax-exempt bond issues and taxable loan participations. Rick has over 35 years of experience and serves as the director of Northland’s Financial Services Department. In cooperation with clients’ tax and legal advisors, Northland representatives provide clients with a robust platform of mutual funds, closed-end funds, alternative investments, annuities, life insurance, and oil & gas programs. Our diverse platform of products and commitment to tax efficiency support client needs for portfolio growth, retirement income, business continuation, and wealth transfer strategies. History & Mission Northland was formed to meet client needs in a new era of finance. Today, transactions must be done optimally, with a thorough understanding of the client’s situation and surrounding elements in the environment; it is no longer acceptable to just process transactions or provide a singular product. Northland Securities, Inc. was founded in 2002 by a core of municipal finance and underwriting professionals. The veterans of that early organization came from national and regional investment banking and financial advisory firms and shared a common focus – Midwest bond issuers. The firm has grown to over 180 employees, across complementary business units, several of whom are shareholders of the holding company, Northland Capital Holdings, Inc. The firm is a leading underwriter of tax-exempt bonds in the Midwest, and is recognized for its equity markets research and specialization in finance and capital market access for corporate, government, and non-profit clients. Headquartered in Minneapolis, Minnesota, Northland Securities has branch offices in California, Colorado, Iowa, New York, and Wisconsin. No firm in our industry is more committed to providing financial services that yield outstanding results than the team of professionals at Northland. Our commitment is to deliver innovative financial services with integrity, insight, technical competence, and dedication to achieving the goals of our clients. We provide access to compelling financial options and technology, while guiding our clients through the challenging decision-making process – in an ever-changing marketplace – to a thorough, creative, and complete solution to meet their needs. Our mission is “PROVIDING DIRECTION, PRODUCING RESULTS.” Our professionals are committed to the highest levels of integrity and accountability, to do what is in the best interest of their clients, industry regulators, investors, and colleagues. Any web links being provided are strictly as a courtesy to our clients. When you link to any of the sites provided here, you are leaving our site. Our company makes no representation as to the completeness or accuracy of information provided at these sites. Nor is the company liable for any direct or indirect technical or system issues or any consequences arising out of your access to or your use of third-party technologies, sites, information, and programs made available through this site. We do not endorse or accept any liability/responsibility for the content or use of these sites. Please view our Welcome to Northland Securities, a full-service securities brokerage firm combining Wall Street experience with Midwestern values to execute your financing and investment goals. We’ve built our business on a foundation of honesty as a policy and a promise to each of our customers.