Stephen L. Preston
Professional summary
Stephen Lynn Preston, who also goes by Steve Preston, is a registered financial professional currently at ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio and NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1992. Stephen has worked at 14 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55, Series 31, Series 7, Series 6, Series 14, Series 27, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Lynn Preston's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2011 - Present
ULTIMUS FUND DISTRIBUTORS, LLC
Office #1: 225 Pictoria Drive Suite 450, Cincinnati, OH 45246October 30, 2019 - Present
NORTHERN LIGHTS DISTRIBUTORS, LLC
Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022January 21, 2016 - January 21, 2020
UNIFIED FINANCIAL SECURITIES, LLC
February 1, 2008 - June 28, 2010
STONEX FINANCIAL INC.
July 20, 2007 - January 28, 2008
FSC SECURITIES CORPORATION
September 28, 2005 - January 28, 2008
ADVANTAGE CAPITAL CORPORATION
September 23, 2003 - January 28, 2008
FSC SECURITIES CORPORATION
July 2, 2003 - August 7, 2003
IRON CAPITAL MARKETS, INC.
July 17, 2001 - August 20, 2001
ADVANTAGE CAPITAL CORPORATION
June 20, 2000 - August 17, 2001
FSC SECURITIES CORPORATION
February 2, 1998 - June 12, 2000
PFIC SECURITIES CORPORATION
March 14, 1997 - August 13, 1997
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 14, 1997 - August 13, 1997
OSAIC FA, INC.
May 10, 1995 - July 18, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 5, 1993 - April 25, 1995
J.J.B. HILLIARD, W.L. LYONS, LLC
June 25, 1992 - April 6, 1993
HEIDTKE & COMPANY, INC.
March 18, 1992 - July 14, 1992
H. L. CAMP & COMPANY, 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
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 9/26/2008
Limited Representative-Equity Trader ExamFINRA
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
Monitor Stephen Preston
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