Erik A. Schonberg

NORTHERN LIGHTS DISTRIBUTORS

Elkhorn, NE 68022

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CRD#: 1689620

Professional summary

Erik Arnold Schonberg, who also goes by Erik A Schonberg, Erik Arnold Schonberg, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Erik is registered as a RR (Registered Representative) and started their career in finance in 1987. Erik has worked at 14 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Erik A Schonberg | Erik Arnold Schonberg

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erik Arnold Schonberg's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 2, 2025 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

CRD#: 126159

Elkhorn, NE

Past

July 12, 2021 - August 22, 2022

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

PORTLAND, ME

Past

November 5, 2015 - November 20, 2018

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266

FAIRPORT, NY

Past

November 3, 2015 - November 20, 2018

MANNING & NAPIER ADVISORS, LLC

RIA

CRD#: 105992

Atlanta, GA

Past

April 18, 2007 - October 14, 2015

MANNING & NAPIER ADVISORS, LLC

RIA

CRD#: 105992

ATLANTA, GA

Past

April 5, 2007 - October 14, 2015

MANNING & NAPIER INVESTOR SERVICES, INC.

CRD#: 26266

FAIRPORT, NY

Past

July 21, 2005 - December 31, 2006

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

HARTFORD, CT

Past

October 15, 2001 - March 22, 2004

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

August 1, 1999 - September 28, 2001

FORESIDE FUNDS DISTRIBUTORS LLC

CRD#: 31334

PORTLAND, ME

Past

June 16, 1998 - July 29, 1999

CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.

CRD#: 44054

DARIEN, CT

Past

September 17, 1994 - February 11, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

June 22, 1992 - August 29, 1994

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

September 16, 1989 - January 2, 1991

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

February 21, 1989 - September 19, 1989

FIRST ALLIANCE SECURITIES, INC.

CRD#: 10254

Past

September 8, 1988 - March 2, 1989

PROFILE INVESTMENTS CORPORATION

CRD#: 16478

Past

August 20, 1987 - September 2, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Georgia
(1/16/2025)

Nebraska
(1/15/2025)

Texas
(1/22/2025)

Exams

State Security Law Exam

Series 63

Date: 1/14/2025

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/17/2007

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/15/1987

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NORTHERN LIGHTS DISTRIBUTORS, LLC

AQUARIUS FUND DISTRIBUTORS, INC. | NORTHERN LIGHTS DISTRIBUTORS, LLC | AQUARIUS FUND DISTRIBUTORS, LLC

CRD#: 126159 / SEC#: , 8-65857

Broker-Dealer Firm Regulated by FINRA (Kansas City district office)

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Contact information

Main Address

4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

Mailing Address

4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

Phone number

(855) 891-0091

Established

Nebraska since 12/31/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

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

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Erik A. Schonberg

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Erik Arnold Schonberg's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

MANNING & NAPIER INVESTOR SERVICES, INC.

MANNING & NAPIER ADVISORS, LLC

MANNING & NAPIER ADVISORS, LLC

MANNING & NAPIER INVESTOR SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

FORESIDE FUNDS DISTRIBUTORS LLC

CAPITAL RESOURCE FINANCIAL SERVICES, L.L.C.

CITIGROUP GLOBAL MARKETS INC.

CIBC WORLD MARKETS CORP.

UBS FINANCIAL SERVICES INC.

FIRST ALLIANCE SECURITIES, INC.

PROFILE INVESTMENTS CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 1/14/2025

Series 65

Date: 4/17/2007

SIE

Date: 10/1/2018

Series 7

Date: 8/15/1987

FINRA

Current Firm

NORTHERN LIGHTS DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NORTHERN LIGHTS DISTRIBUTORS, LLC

TRUST BUT VERIFY

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