Marc Difilippo

NORTHERN LIGHTS DISTRIBUTORS

Elkhorn, NE 68022

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CRD#: 3267740

Professional summary

Marc Difilippo is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Marc is registered as a RR (Registered Representative) and started their career in finance in 1999. Marc has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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 Marc Difilippo'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

March 9, 2016 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

CRD#: 126159

Elkhorn, NE

Past

August 23, 2012 - December 31, 2015

CALVERT INVESTMENT DISTRIBUTORS, INC.

CRD#: 37527

BETHESDA, MD

Past

May 11, 2011 - August 16, 2012

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA

CRD#: 107105

NEW YORK, NY

Past

April 11, 2011 - August 16, 2012

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

PRINCETON, NJ

Past

October 3, 2006 - June 4, 2010

INVESCO CAPITAL MARKETS, INC.

CRD#: 6939

HOUSTON, TX

Past

October 9, 2000 - September 25, 2006

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

SECAUCUS, NJ

Past

March 16, 2000 - September 21, 2000

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

BOSTON, MA

Past

August 18, 1999 - December 16, 1999

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Delaware
(3/9/2016)

Maryland
(5/25/2018)

New Jersey
(3/9/2016)

Pennsylvania
(3/9/2016)

Virginia
(5/25/2018)

West Virginia
(5/25/2018)

Exams

State Security Law Exam

IAR

Series 65

Date: 5/10/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/17/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/17/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NORTHERN LIGHTS DISTRIBUTORS, LLC

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

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

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

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

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.

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Advisor Monitoring

Firm Stability Insights

Marc Difilippo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Marc Difilippo's CRS (Customer Relationship Summary).

Certified licenses

Experience

CALVERT INVESTMENT DISTRIBUTORS, INC.

BLACKROCK FINANCIAL MANAGEMENT, INC

BLACKROCK INVESTMENTS, LLC

INVESCO CAPITAL MARKETS, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

NYLIFE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/10/2011

Series 63

Date: 4/17/2004

SIE

Date: 10/1/2018

Series 7

Date: 8/29/2006

Series 6

Date: 8/17/1999

FINRA

Current Firm

NORTHERN LIGHTS DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NORTHERN LIGHTS DISTRIBUTORS, LLC

TRUST BUT VERIFY

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