AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
BZ

Brian L. Zeck

NORTHERN LIGHTS DISTRIBUTORS
Elkhorn, NE 68022
Some features on this profile are disabled
CRD#: 4096973
BZ

Professional summary

Brian Lee Zeck is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Brian is registered as a RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Brian Lee Zeck'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

September 21, 2018 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

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

March 20, 2017 - August 10, 2018

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

June 20, 2016 - February 15, 2017

INTELLECTUS PARTNERS, LLC

RIA
CRD#: 173140
Portland, OR
Past

October 9, 2012 - June 3, 2016

LEADER CAPITAL CORP.

BD
CRD#: 46206
PORTLAND, OR
Past

September 18, 2012 - June 3, 2016

LEADER CAPITAL CORP.

RIA
CRD#: 46206
PORTLAND, OR
Past

May 30, 2012 - November 28, 2012

AEQUITAS INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 143780
LAKE OSWEGO, OR
Past

July 21, 2006 - November 1, 2011

LEADER CAPITAL CORP.

RIA
CRD#: 46206
PORTLAND, OR
Past

July 21, 2006 - November 1, 2011

LEADER CAPITAL CORP.

BD
CRD#: 46206
PORTLAND, OR
Past

April 11, 2005 - April 3, 2006

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
SAN DIEGO, CA
Past

February 3, 2005 - April 3, 2006

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

September 11, 2003 - January 20, 2005

ADVISORS ASSET MANAGEMENT, INC.

BD
CRD#: 46727
MONUMENT, CO
Past

December 8, 2000 - May 4, 2001

BLACKROCK EXECUTION SERVICES

BD
CRD#: 39438
NEW YORK, NY

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
Texas
(9/21/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 6/4/2005
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 4/8/2005
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 2/25/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 12/7/2000
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

TRUST BUT VERIFY

Monitor Brian Zeck

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Byron O Smith
Byron SmithAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
OMAHA, NE
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics