Michael P. Pluemer
Professional summary
Michael Patrick Pluemer, CFP®, who also goes by Michael P Pluemer, Michael Patrick Pluemer, Michael Pluemer, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.
Michael is registered as a RR (Registered Representative) and started their career in finance in 1987. Michael has worked at 13 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 51, Series 24, Series 53 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Michael Patrick Pluemer's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 17, 2023 - Present
NORTHERN LIGHTS DISTRIBUTORS, LLC
Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022February 26, 2022 - February 16, 2023
ULTIMUS FUND DISTRIBUTORS, LLC
October 3, 2016 - April 8, 2021
EASTERLY FUNDS LLC
September 15, 2015 - April 6, 2021
FDX CAPITAL LLC
April 14, 2014 - September 15, 2015
ALT FUND DISTRIBUTORS LLC
July 16, 2013 - May 15, 2014
AVANTAX INVESTMENT SERVICES, INC.
April 3, 2013 - July 15, 2013
ALPHA DYNAMICS LLC
October 30, 2012 - April 1, 2013
DESTRA CAPITAL INVESTMENTS LLC
November 9, 2009 - August 8, 2011
FRANKLIN DISTRIBUTORS, LLC
September 24, 2008 - November 3, 2009
QUASAR DISTRIBUTORS, LLC
December 12, 2007 - August 13, 2008
INVESCO CAPITAL MARKETS, INC.
May 1, 1998 - July 26, 2006
MFS FUND DISTRIBUTORS, INC.
September 11, 1997 - May 8, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 9, 1991 - July 7, 1997
AVANTAX INVESTMENT SERVICES, INC.
July 21, 1987 - November 1, 1989
AVANTAX INVESTMENT 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
(2/17/2023)
(2/17/2023)
(2/17/2023)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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
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Company Information
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159Elkhorn, NE 68022TRUST BUT VERIFY
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