Daniel M. Kullman
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.
Daniel Marshall Kullman, who also goes by Dan Kullman, Daniel Kullman, was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1992. Daniel had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 12, 2014 - August 1, 2023
NORTHERN LIGHTS DISTRIBUTORS, LLC
March 25, 2014 - August 1, 2023
TOEWS ASSET MANAGEMENT
August 12, 2004 - April 11, 2014
ORION PORTFOLIO SOLUTIONS, LLC
June 11, 2004 - May 20, 2008
NATIONAL PENSION & GROUP CONSULTANTS, INC
April 12, 2002 - December 19, 2003
LEXINGTON FINANCIAL SERVICES, INC.
November 9, 2000 - March 21, 2001
DONNELLY & CO., LLC
August 31, 1999 - April 28, 2000
NELSONREID, INC.
September 1, 1998 - April 28, 1999
FIRST SOUTHWEST COMPANY, LLC
April 29, 1996 - September 8, 1998
MORGAN KEEGAN & COMPANY, LLC
February 8, 1993 - February 23, 1996
SANDERS MORRIS LLC
June 10, 1992 - January 15, 1993
LEHMAN BROTHERS 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
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