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CB

Chad M. Bitterman

NORTHERN LIGHTS DISTRIBUTORS
Elkhorn, NE 68022
Some features on this profile are disabled
CRD#: 2979477
CB

Professional summary

Chad Michael Bitterman, who also goes by Chad Bitterman, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Chad is registered as a RR (Registered Representative) and started their career in finance in 1999. Chad has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chad Bitterman

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 Chad Michael Bitterman'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

May 28, 2010 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

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

April 2, 2012 - December 16, 2019

ORION PORTFOLIO SOLUTIONS, LLC

RIA
CRD#: 107975
OMAHA, NE
Past

December 18, 2009 - May 7, 2010

WADDELL & REED

RIA
CRD#: 866
OMAHA, NE
Past

December 16, 2009 - May 7, 2010

WADDELL & REED

BD
CRD#: 866
OMAHA, NE
Past

April 22, 2006 - August 4, 2008

TD AMERITRADE, INC.

BD
CRD#: 7870
BELLEVUE, NE
Past

April 16, 2004 - November 17, 2008

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
BELLEVUE, NE
Past

November 27, 2001 - April 22, 2006

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
BELLEVUE, NE
Past

November 14, 2001 - December 31, 2001

J.P. SECURITIES, INC.

BD
CRD#: 36559
BELLEVUE, NE
Past

April 13, 2001 - December 31, 2001

AMERITRADE INSTITUTIONAL SERVICES, INC.

BD
CRD#: 22578
OMAHA, NE
Past

July 22, 1999 - December 31, 2001

ACCUTRADE INC.

BD
CRD#: 13564
BELLEVUE, NE

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
(5/28/2010)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/5/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/12/1999
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: 1/24/2002
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 7/21/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/13/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 2/26/2001
Registered Options Principal 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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