Unclaimed Profile

Richard James Reynolds

NORTHLAND SECURITIES, INC.·MINNEAPOLIS, Minnesota

SIE, Series 7, Series 24, Series 53, Series 63, Series 6512 years registeredNORTHLAND SECURITIES, INC.

45 SOUTH 7TH STREET, MINNEAPOLIS, MN 55402CRD# 860220Firm CRD# 40258

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard James Reynolds · MINNEAPOLIS, MN

Registration

CRD #860220 · NORTHLAND SECURITIES, INC. · 12 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: NORTHLAND SECURITIES, INC.

NORTHLAND ASSET MANAGEMENT

Jan 2014 – Jun 2018

MINNEAPOLIS, MN

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 53

Series 63

Series 65

Registration record

First registered · January 3, 2014

Years registered · 12

Disclosure History

2021Customer Dispute·Award / Judgment

2014Customer Dispute·Settled

2003Customer Dispute·Settled

3 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

NORTHLAND SECURITIES, INC.

CRD 40258 · SEC 801-96329

AUM

$237M

Regulatory assets under management

Employees

826 client accounts

Services offered by NORTHLAND SECURITIES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at NORTHLAND SECURITIES, INC. →

Introduction

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Frequently Asked Questions

What services does Richard James Reynolds offer?

Richard James Reynolds specializes in Financial Planning, Investment Management.

What are Richard James Reynolds's credentials?

Richard James Reynolds is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard James Reynolds located?

Richard James Reynolds is based in MINNEAPOLIS, Minnesota, last registered with NORTHLAND SECURITIES, INC..

How does Richard James Reynolds charge for services?

Richard James Reynolds's firm is compensated through percentage of aum, hourly charges, subscription fees, other: negotiated. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is NORTHLAND SECURITIES, INC.?

NORTHLAND SECURITIES, INC. has approximately 19 employees and manages $237M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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