Zachari K. Ott
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.
Zachari Kyler Ott was a registered financial professional .
Zachari is a previously registered financial professional and started their career in finance in 2004. Zachari had worked at 8 firms and has passed the Series 63, SIE 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
January 10, 2025 - January 14, 2025
NORTHERN LIGHTS DISTRIBUTORS, LLC
November 7, 2017 - June 5, 2024
SAMMONS FINANCIAL NETWORK, LLC
February 4, 2015 - October 16, 2017
EMPOWER FINANCIAL SERVICES, INC.
December 19, 2011 - November 26, 2014
LINCOLN FINANCIAL DISTRIBUTORS, INC.
February 16, 2011 - December 1, 2011
VALIC FINANCIAL ADVISORS, INC.
June 1, 2010 - March 4, 2011
LPL FINANCIAL LLC
June 26, 2009 - June 10, 2010
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
April 30, 2008 - May 11, 2009
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 14, 2004 - April 14, 2008
COREBRIDGE CAPITAL SERVICES, 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
