Traci Spanier


Co-Chief Compliance Officer

Northland Securities


Traci Spanier began her career at RBC Dain Rauscher in 1997. At RBC, Ms. Spanier’s background was primarily in Fixed Income Capital Markets where she had numerous roles from trading support for fixed income products, regulatory trade reporting analyst and trading high yield corporate debt. Given that experience she transitioned into Fixed Income Compliance for RBC Capital Markets and then moved over to PCG Compliance supporting RBC Wealth Management. In 2010 she joined Northland as a Senior Compliance Officer, and is currently holding a Co-Chief Compliance Officer position, specializing in Fixed Income Capital Markets and Wealth Management. Ms. Spanier holds the Series 7 General Securities Representative; Series 57 Securities Trader, Series 24 General Securities Principal, Series 53 Municipal Securities Principal; and the Series 63 NASAA Uniform State Agent licenses, and recently obtained the Certified Securities Compliance Professional (CSCP) certification.


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