David J. Schulman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
David Joel Schulman was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 7, 2017 - December 11, 2018
NORTHERN LIGHTS DISTRIBUTORS, LLC
December 14, 2016 - March 26, 2019
ANFIELD CAPITAL MANAGEMENT, LLC
January 3, 2007 - December 31, 2010
JOHN HANCOCK INVESTMENT MANAGEMENT LLC
January 3, 2007 - December 31, 2016
MANULIFE INVESTMENT MANAGEMENT (US) LLC
March 31, 2005 - January 25, 2017
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
September 14, 2004 - March 21, 2005
GLOBAL ATLANTIC DISTRIBUTORS, LLC
June 25, 1997 - June 23, 2004
BOFA DISTRIBUTORS, INC.
December 2, 1992 - April 4, 1997
WM FUND SERVICES, INC.
October 19, 1988 - November 16, 1992
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
August 11, 1988 - October 31, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
May 20, 1986 - October 27, 1988
COREBRIDGE CAPITAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159 / SEC#: , 8-65857
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE ULTIMUS GROUP MIDCO, LLC | SOLE MEMBER | |
| EVANS, GREGORY ASHTON | FINANCIAL OPERATIONS PRINCIPAL | 4850219 |
| GUERETTE, KEVIN | PRESIDENT | 2960114 |
| JAMES, DAVID KENNETH | MANAGER | 6998721 |
| PRESTON, STEPHEN LYNN | CHIEF COMPLIANCE OFFICER/AML OFFICER | 2217795 |
| STRAIT, WILLIAM JOHN | SECRETARY/GENERAL COUNSEL/MANAGER | 6123015 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
