Michael J. Lahaie
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.
Michael John Lahaie, who also goes by Michael John Berube, Mike Lahaie, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2002. Michael had worked at 6 firms and has passed the Series 66, 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
November 10, 2015 - September 26, 2017
NORTHERN LIGHTS DISTRIBUTORS, LLC
October 5, 2015 - September 21, 2017
TOEWS ASSET MANAGEMENT
November 13, 2013 - January 6, 2015
PVG ASSET MANAGEMENT CORP
October 2, 2013 - March 13, 2015
CIM SECURITIES, LLC
November 14, 2011 - December 6, 2011
CIM SECURITIES, LLC
August 11, 2009 - October 26, 2011
VOYA FINANCIAL ADVISORS, INC.
July 31, 2009 - October 26, 2011
VOYA FINANCIAL ADVISORS, INC.
January 18, 2002 - July 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 15, 2002 - July 9, 2009
WELLS FARGO CLEARING SERVICES, 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
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