Edward Cordova
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.
Edward Cordova was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1999. Edward had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 20, 2021 - June 30, 2022
NORTHERN LIGHTS DISTRIBUTORS, LLC
August 1, 2019 - February 26, 2021
MEEDER ASSET MANAGEMENT, INC.
June 16, 2015 - February 26, 2021
MEEDER DISTRIBUTION SERVICES, INC.
April 28, 2014 - April 13, 2015
ALLSTATE FINANCIAL SERVICES, LLC
February 14, 2013 - September 18, 2013
THORNBURG SECURITIES LLC
June 8, 2007 - January 14, 2013
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 21, 2000 - May 1, 2007
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 7, 1999 - April 11, 2000
GLOBAL ATLANTIC DISTRIBUTORS, LLC
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.
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