June 28, 2023 For Financial Representatives Looking for Change: Meet Northland Wealth Management YOUR TIME IS VALUABLE We’d like to buy you a cup of coffee and discuss how Northland Wealth Management can help you and your business. We’ll keep it short. We are a Midwest-based broker-dealer, and we focus on you and your clients like you are our family. At the end of the day, we work together to take care of your clients. If you’re interested in learning more, let’s talk about how Northland Wealth Management could be the right fit for you and your practice as a trusted partner for your future success. It’s as simple as a phone call, see our contact info below. Please let us know when you have some time to meet. NORTHLAND’S ADVANTAGES Locations in Minneapolis, Columbus, Denver, Detroit, Des Moines, Madison, Milwaukee Clearing Firm – Pershing LLC Northland Employee Benefits for Office Staff Ethical and Dedicated Culture Practical and Experienced Staff Responsive Compliance Team Solution-Driven Management 20+ Years of Firm History & Growth ABOUT NORTHLAND WEALTH MANAGEMENT At Northland Wealth Management, we deliver solutions for individuals’ long-term financial needs. Through experienced Financial Professionals and Registered Investment Adviser Representatives like you, we deliver a full spectrum of investment solutions to provide peace of mind for your clients. Our constant focus is on you, your clients, and your future with Northland Wealth Management.
June 30, 2020 Client Information on SEC’s Regulation Best Interest SEC Regulation BI Information and Disclosures The Securities and Exchange Commission (“SEC”) has adopted Regulation BI (“RegBI”), a new rule under the Securities Exchange Act of 1934 (“Exchange Act”) establishing a “best interest” standard of conduct for broker-dealers and Registered Investment Advisors (“RIAs”) and associated persons when making a recommendation of any securities transaction or investment strategy involving securities to a retail customer. The standard of conduct is to act in the best interest of the retail customer at the time a recommendation is made, without placing the financial or other interest of the broker-dealer, RIA, or associated person making the recommendation ahead of the interest of the retail customer. The SEC concurrently adopted a rule requiring each broker-dealer and RIA to provide its retail clients and file with the SEC a “Client Relationship Summary” (“Form CRS”) providing information about that broker-dealer or RIA and the way it conducts business. The RegBI Form CRS compliance and implementation date is June 30, 2020. Ask a Northland Financial Representative for more information on RegBI. INVESTOR INFORMATION – What You Need to Know – Investor.gov Online Resource Site – SEC’s Office of Investor Education and Advocacy (OIEA) FINRA Key Topic – SEC Regulation Best Interest SEC Regulation Best Interest, Form CRS, and Related Interpretations NORTHLAND DOCUMENTS Northland Form CRS Broker-Dealer ONLY (3/29/2024) Northland Form CRS Broker-Dealer & RIA DUAL (3/29/2024) Northland RegBI Disclosure Document (6-30-2020)
