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DF

Donald W. Fillinger

NORTHERN LIGHTS DISTRIBUTORS
Elkhorn, NE 68022
Some features on this profile are disabled
CRD#: 2818020
DF

Professional summary

Donald William Fillinger is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Donald is registered as a RR (Registered Representative) and started their career in finance in 1997. Donald has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Donald William Fillinger'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 13, 2017 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

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

July 3, 2014 - August 26, 2016

BNY MELLON SECURITIES CORPORATION

RIA
CRD#: 231
CONCORD, CA
Past

May 12, 2014 - August 26, 2016

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

February 15, 2011 - May 8, 2014

DWS DISTRIBUTORS, INC.

BD
CRD#: 37306
CHICAGO, IL
Past

September 20, 2006 - November 2, 2010

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 5496
WELLESLEY HILLS, MA
Past

December 18, 2003 - July 5, 2006

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
JERSEY CITY, NJ
Past

July 19, 2001 - August 1, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
COLUMBUS , OH
Past

June 25, 1999 - August 1, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

February 18, 1997 - February 17, 1999

PFS INVESTMENTS INC.

BD
CRD#: 10111
DULUTH, GA

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
California
(1/13/2017)
RR
Nebraska
(7/31/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/2/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/17/1997
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 7
Date: 6/24/1999
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/13/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NL
NORTHERN LIGHTS DISTRIBUTORS, LLC
AQUARIUS FUND DISTRIBUTORS, INC. | NORTHERN LIGHTS DISTRIBUTORS, LLC | AQUARIUS FUND DISTRIBUTORS, LLC

CRD#: 126159 / SEC#: , 8-65857

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THE ULTIMUS GROUP MIDCO, LLCSOLE MEMBER
EVANS, GREGORY ASHTONFINANCIAL OPERATIONS PRINCIPAL4850219
GUERETTE, KEVINPRESIDENT2960114
JAMES, DAVID KENNETHMANAGER6998721
PRESTON, STEPHEN LYNNCHIEF COMPLIANCE OFFICER/AML OFFICER2217795
STRAIT, WILLIAM JOHNSECRETARY/GENERAL COUNSEL/MANAGER6123015

Disclosures

Regulatory Event1

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

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159Elkhorn, NE 68022

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