Jeffrey H. Brimm
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.
Jeffrey Harris Brimm, who also goes by Jeff Harris Brimm, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2000. Jeffrey had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 30, 2018 - August 26, 2021
NORTHERN LIGHTS DISTRIBUTORS, LLC
May 1, 2014 - March 1, 2017
LPL FINANCIAL LLC
May 1, 2014 - March 1, 2017
LPL FINANCIAL LLC
March 6, 2006 - May 14, 2014
WOODBURY FINANCIAL SERVICES, INC.
March 3, 2006 - May 14, 2014
WOODBURY FINANCIAL SERVICES, INC.
March 30, 2005 - March 8, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 5, 2005 - March 8, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
May 16, 2003 - January 7, 2005
NEXT FINANCIAL GROUP, INC.
July 1, 2002 - June 11, 2003
OSAIC FS, INC.
June 1, 2001 - July 16, 2002
EQUITABLE ADVISORS, LLC
February 21, 2000 - May 31, 2001
OSAIC FS, 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.
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