Susan R. Yerkey

NORTHERN LIGHTS DISTRIBUTORS

Elkhorn, NE 68022

Some features on this profile are disabled

CRD#: 2364791

Professional summary

Susan Rae Yerkey, who also goes by Susan Rae Lees, Rae Yerkey, Susan Rae Yerkey, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1993. Susan has worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Susan Rae Lees | Rae Yerkey | Susan Rae Yerkey

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.

1. USCA Securities, LLC; Investment-related; Houston, TX; broker dealer; registered representative; 01/2011; >1 hour/month; 1-8 during trading hours; broker 2. Piton Investment Management; Investment related; New York, NY; consulting; sales consultant; 10/2021; 32 hours/month;32 hours/month; to help build assets under management 3. US Capital Wealth Advisors, LLC; Investment-related; Houston, TX; Registered Investment Advisor; financial advisor; 06/2021; >1 hour/month; 1-8 during trading hours; advisor 4. USCA Asset Management; Investment-related; Houston, Tx; RIA; Director; Portfolio; 10/2022; 40 hrs; 40 hrs; make investment decisions for the fund (HRG Appreciation Fund)

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan Rae Yerkey'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 29, 2024 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

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

CRD#: 126159

Elkhorn, NE

Past

October 31, 2022 - December 5, 2023

USCA ASSET MANAGEMENT LLC

RIA

CRD#: 137045

HOUSTON, TX

Past

October 15, 2021 - December 7, 2023

PITON INVESTMENT MANAGEMENT, LP

RIA

CRD#: 282517

Houston, TX

Past

June 30, 2021 - December 5, 2023

U.S. CAPITAL WEALTH ADVISORS, LLC

RIA

CRD#: 288199

AUSTIN, TX

Past

January 13, 2011 - June 30, 2021

USCA RIA LLC

RIA

CRD#: 152170

HOUSTON, TX

Past

January 13, 2011 - December 5, 2023

USCA SECURITIES LLC

CRD#: 103789

HOUSTON, TX

Past

November 14, 2007 - January 21, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

HOUSTON, TX

Past

November 14, 2007 - January 21, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

HOUSTON, TX

Past

September 2, 2005 - November 14, 2007

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

HOUSTON, TX

Past

September 1, 2005 - November 14, 2007

A. G. EDWARDS & SONS, INC.

CRD#: 4

HOUSTON, TX

Past

August 31, 2004 - September 1, 2005

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

ST. LOUIS, MO

Past

January 4, 2002 - June 27, 2003

D.A. DAVIDSON & CO.

CRD#: 199

GREAT FALLS, MT

Past

November 1, 1999 - November 15, 2001

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

August 26, 1999 - November 1, 1999

CLEARY GULL INC.

CRD#: 45309

MILWAUKEE, WI

Past

February 23, 1998 - July 20, 1999

HANIFEN, IMHOFF INC.

CRD#: 44469

DENVER, CO

Past

February 15, 1996 - February 23, 1998

HANIFEN, IMHOFF INC.

CRD#: 2126

DENVER, CO

Past

August 6, 1993 - October 23, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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

Nebraska
(1/29/2024)

Texas
(1/29/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/15/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/11/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/5/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/25/2000

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/24/2000

General Securities Sales Supervisor - Options Module 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

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.

Similar Advisors

Byron Smith

OSAIC WEALTH, INC.

IAR

OMAHA, NE

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Susan R. Yerkey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Susan Rae Yerkey's CRS (Customer Relationship Summary).

Certified licenses

Experience

USCA ASSET MANAGEMENT LLC

PITON INVESTMENT MANAGEMENT, LP

U.S. CAPITAL WEALTH ADVISORS, LLC

USCA RIA LLC

USCA SECURITIES LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

STIFEL, NICOLAUS & COMPANY, INCORPORATED

D.A. DAVIDSON & CO.

TUCKER ANTHONY INCORPORATED

CLEARY GULL INC.

HANIFEN, IMHOFF INC.

HANIFEN, IMHOFF INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/15/2005

Series 63

Date: 10/11/1993

SIE

Date: 10/1/2018

Series 7

Date: 8/5/1993

Series 10

Date: 1/25/2000

Series 9

Date: 1/24/2000

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

Similar Advisors