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RH

Robert C. Harris

NORTHERN LIGHTS DISTRIBUTORS
Elkhorn, NE 68022
Some features on this profile are disabled
CRD#: 2191548
RH

Professional summary

Robert Charles Harris, who also goes by Bob Harris, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska and ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1991. Robert has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 6, Series 51, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Harris

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 Robert Charles Harris'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

April 20, 2021 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
BD
CRD#: 126159
Elkhorn, NE
Current

April 20, 2021 - Present

ULTIMUS FUND DISTRIBUTORS, LLC

Office #1: 225 Pictoria Drive Suite 450, Cincinnati, OH 45246
BD
CRD#: 104177
Cincinnati, OH
Past

November 2, 2018 - April 6, 2021

OSAIC WEALTH, INC.

RIA
CRD#: 23131
NASHVILLE, TN
Past

November 2, 2018 - April 6, 2021

OSAIC WEALTH, INC.

BD
CRD#: 23131
NASHVILLE, TN
Past

June 30, 2008 - November 2, 2018

SIGNATOR INVESTORS, INC.

RIA
CRD#: 468
NASHVILLE, TN
Past

April 14, 2006 - November 2, 2018

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
NASHVILLE, TN
Past

March 24, 1999 - August 9, 2004

PFIC SECURITIES CORPORATION

BD
CRD#: 34941
FRANKLIN, TN
Past

February 13, 1997 - February 4, 1999

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

February 13, 1997 - February 4, 1999

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

November 21, 1996 - January 27, 1997

BIRCHTREE FINANCIAL SERVICES LLC

BD
CRD#: 15014
MINNEAPOLIS, MN
Past

April 4, 1994 - November 29, 1996

SUNPOINT SECURITIES, INC.

BD
CRD#: 25442
LONGVIEW, TX
Past

August 24, 1993 - March 25, 1994

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

August 4, 1993 - August 26, 1993

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA
Past

July 23, 1992 - July 22, 1993

HEIDTKE & COMPANY, INC.

BD
CRD#: 13951
NASHVILLE, TN
Past

November 18, 1991 - February 18, 1992

H. L. CAMP & COMPANY, INC.

BD
CRD#: 17005
NASHVILLE, TN

State Registrations and Notice Filings

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

RR
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

RR
Nebraska
(4/20/2021)
RR
Ohio
(4/20/2021)
RR
Tennessee
(4/20/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/14/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/15/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/28/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/21/1992
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/14/1991
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 8/30/2006
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 5/30/2001
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/10/1996
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UF
ULTIMUS FUND DISTRIBUTORS, LLC
ULTIMUS FUND DISTRIBUTORS, LLC

CRD#: 104177 / SEC#: , 8-52643

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
225 Pictoria Drive Suite 450, Cincinnati, OH 45246
Mailing Address
225 Pictoria Drive Suite 450, Cincinnati, OH 45246
Phone number
(513) 587-3400
Established
Ohio since 05/31/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ULTIMUS FUND SOLUTIONS, LLCOWNER
EVANS, GREGORY ASHTONFINANCIAL OPERATIONS PRINCIPAL4850219
GUERETTE, KEVIN MICHAELPRESIDENT2960114
PRESTON, STEPHEN LYNNCHIEF COMPLIANCE OFFICER/AML OFFICER2217795

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.

Company Information

ULTIMUS FUND DISTRIBUTORS, LLC

CRD#: 104177Elkhorn, NE 68022

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