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CR

Calvin L. Roseberry

NORTHERN LIGHTS DISTRIBUTORS
Elkhorn, NE 68022
CRD#: 2965512
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CR
Calvin Lewis RoseberryNORTHERN LIGHTS DISTRIBUTORS

Professional summary

Calvin Lewis Roseberry, CIMA®, who also goes by Calvin Lewis Roseberry II, Calvin L Roseberry Ii, Calvin Lewis Roseberry Ii, Calvin Roseberry, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Calvin is registered as a RR (Registered Representative) and started their career in finance in 1998. Calvin has worked at 16 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Calvin Lewis Roseberry Ii | Calvin L Roseberry Ii | Calvin Lewis Roseberry Ii | Calvin Roseberry

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 Calvin Lewis Roseberry'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®
CIMA®

Certified Investment Management Analyst

Experience

Current

May 19, 2026 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

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

September 5, 2025 - May 4, 2026

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
GREENSBORO, NC
Past

September 5, 2025 - May 4, 2026

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
DALLAS, TX
Past

January 28, 2021 - September 5, 2025

AVANTAX ADVISORY SERVICES

RIA
CRD#: 104556
Dallas, TX
Past

January 28, 2021 - September 5, 2025

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX
Past

September 30, 2020 - January 13, 2021

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
CHARLOTTE, NC
Past

September 8, 2020 - January 13, 2021

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CHARLOTTE, NC
Past

February 7, 2018 - February 21, 2020

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

BD
CRD#: 13594
ST. PETERSBURG, FL
Past

July 14, 2015 - February 21, 2020

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

BD
CRD#: 332
ST. PETERSBURG, FL
Past

March 24, 2014 - June 19, 2015

PALMETTO ADVISORY

RIA
CRD#: 152286
ST. PETERSBURG, FL
Past

March 18, 2014 - June 19, 2015

PALMETTO ADVISORY GROUP, LLC

BD
CRD#: 150270
CHARLESTON, SC
Past

February 28, 2013 - March 27, 2014

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
MIAMI, FL
Past

February 27, 2013 - March 27, 2014

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
MIAMI, FL
Past

April 13, 2011 - February 27, 2013

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
ROSELAND, NJ
Past

October 22, 2010 - March 16, 2011

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
OAKLAND PARK, FL
Past

October 21, 2010 - March 16, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
OAKLAND PARK, FL
Past

October 9, 2009 - March 4, 2010

FORTITUDE ADVISORY GROUP L.L.C.

RIA
CRD#: 116083
GIG HARBOR, WA
Past

June 18, 2009 - March 4, 2010

ARGENTUS SECURITIES, LLC

BD
CRD#: 45915
WEST PALM BEACH, FL
Past

December 19, 2007 - November 14, 2008

CALTON & ASSOCIATES, INC.

RIA
CRD#: 20999
OXFORD, MS
Past

December 19, 2007 - November 14, 2008

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
OXFORD, MS
Past

June 25, 1998 - November 28, 2007

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
BOCA RATON, FL
Past

June 22, 1998 - November 28, 2007

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

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
(5/19/2026)
RR
North Carolina
(5/20/2026)
RR
Texas
(5/20/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/18/2020
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/4/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/15/1998
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 31
Date: 12/20/1999
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 5/26/1998
General Securities 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)

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

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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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