James Richard Carlson
Investment Adviser Representative at Northland Asset Management
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
James Richard Carlson is an investment adviser representative with Northland Asset Management in Milwaukee, WI, where they have been registered since 2008. They have worked in the securities industry since 1980 and have been registered with 3 firms, including Citigroup Global Markets Inc. and First Midamerica Investment Corporation. They have passed 12 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in California, Colorado, Florida, Illinois, Kansas, Minnesota, New York, and Wisconsin.
Office
Advisors at this office: 5
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Colorado, Florida, Illinois, Kansas, Minnesota, New York, Wisconsin
- Broker:
17 states and territories
California, Colorado, Florida, Georgia, Illinois, Iowa, Kansas, Maryland, Minnesota, Missouri, Montana, Nevada, New York, Vermont, Virginia, Washington, Wisconsin
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Northland Securities, IncNov 2007 – no end date reportedMinneapolis, MN
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Northland Asset Management
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
- Other
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Northland Securities offers public finance, fixed income, equity capital markets, and wealth management services, including retirement planning, estate planning coordination, life insurance and employer plan consultations, Social Security benefit analysis, cash flow and distribution planning, portfolio management, annuities, mutual funds and UITs, fixed income solutions, and tax-efficient investing.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 40
- Offices listed on AdvisorFinder:
- 2
- Main office:
- Minneapolis, MN
- Founded:
- 2002
- SEC file number:
- 801-96329
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 22, 2026
View full firm profileOther advisors at Northland Asset Management
Showing 12 of 40 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. James Richard Carlson has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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