Douglas K. Jones
Professional summary
Douglas Keith Jones, who also goes by Doug Jones, is a registered financial professional currently at ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio and NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1993. Douglas has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Douglas Keith Jones's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 9, 2000 - Present
ULTIMUS FUND DISTRIBUTORS, LLC
Office #1: 225 Pictoria Drive Suite 450, Cincinnati, OH 45246April 1, 2021 - Present
NORTHERN LIGHTS DISTRIBUTORS, LLC
Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022January 14, 2016 - January 21, 2020
UNIFIED FINANCIAL SECURITIES, LLC
August 14, 1997 - October 27, 2000
FORESIDE DISTRIBUTION SERVICES, L.P.
December 22, 1994 - July 22, 1997
W&S BROKERAGE SERVICES, INC.
July 23, 1993 - December 22, 1994
LESHNER FINANCIAL 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
(6/1/2021)
(2/16/2016)
(4/1/2021)
(11/9/2000)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional 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#: 126159Cincinnati, OH 45246TRUST BUT VERIFY
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