Ashley J. Wallens
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ashley Jordan Wallens, who also goes by Jordan Wallens, was a registered financial professional .
Ashley is a previously registered financial professional and started their career in finance in 1999. Ashley had worked at 9 firms and has passed the Series 63, Series 65, Series 7, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 1, 2018 - December 11, 2018
NORTHERN LIGHTS DISTRIBUTORS, LLC
August 31, 2016 - April 26, 2017
HALBERT HARGROVE
July 13, 2015 - July 5, 2016
SVB WEALTH
January 31, 2014 - June 29, 2015
MORGAN STANLEY
January 31, 2014 - June 29, 2015
MORGAN STANLEY
August 17, 2012 - August 5, 2013
BRINKER CAPITAL INC
February 24, 2012 - August 5, 2013
BRINKER CAPITAL SECURITIES, LLC
April 5, 2010 - January 19, 2012
GOLDMAN SACHS & CO. LLC
June 11, 2007 - March 26, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 1, 1999 - May 30, 2007
CAPITAL CLIENT GROUP, 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
Exams
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
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.
