Jamie A. Atkinson
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.
Jamie Alan Atkinson was a registered financial professional .
Jamie is a previously registered financial professional and started their career in finance in 1986. Jamie had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7, Series 26 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
April 1, 2016 - July 1, 2022
NORTHERN LIGHTS DISTRIBUTORS, LLC
December 4, 2014 - July 7, 2022
SWAN GLOBAL INVESTMENTS, LLC
June 4, 2008 - April 9, 2014
SENTINEL FINANCIAL SERVICES COMPANY
September 21, 2001 - January 26, 2006
RAYMOND JAMES & ASSOCIATES, INC.
May 5, 2000 - January 12, 2001
SEI INVESTMENTS DISTRIBUTION CO.
June 10, 1996 - March 16, 1999
ALLIANCEBERNSTEIN INVESTMENTS, INC.
June 7, 1993 - February 16, 1996
NATIONSSECURITIES
October 11, 1989 - June 7, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
February 15, 1988 - November 6, 1989
LEHMAN BROTHERS INC.
May 23, 1986 - February 15, 1988
E. F. HUTTON & COMPANY 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.
