Kevin W. Clausen

NORTHERN LIGHTS DISTRIBUTORS

Elkhorn, NE 68022

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CRD#: 4819446

Professional summary

Kevin William Clausen is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2004. Kevin has worked at 3 firms and has passed the Series 66, Series 57TO, SIE, Series 7 and Series 24 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

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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

July 20, 2023 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

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

CRD#: 126159

Elkhorn, NE

Past

April 11, 2017 - June 20, 2023

D.A. DAVIDSON & CO.

CRD#: 199

PORTLAND, OR

Past

September 12, 2016 - April 17, 2017

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

PORTLAND, OR

Past

July 26, 2004 - September 14, 2016

D.A. DAVIDSON & CO.

RIA

CRD#: 199

LAKE OSWEGO, OR

Past

July 19, 2004 - September 14, 2016

D.A. DAVIDSON & CO.

CRD#: 199

LAKE OSWEGO, OR

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

Georgia
(7/20/2023)

Nebraska
(7/20/2023)

Oregon
(7/20/2023)

Exams

State Security Law Exam

IAR

Series 66

Date: 7/23/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 57TO

Date: 3/8/2019

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/16/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/20/2018

General Securities Principal 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

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Firm Stability Insights

Kevin W. Clausen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Kevin William Clausen's CRS (Customer Relationship Summary).

Certified licenses

Experience

D.A. DAVIDSON & CO.

KEYBANC CAPITAL MARKETS INC.

D.A. DAVIDSON & CO.

D.A. DAVIDSON & CO.

State Registrations and Notice Filings

Exams

Series 66

Date: 7/23/2004

Series 57TO

Date: 3/8/2019

SIE

Date: 10/1/2018

Series 7

Date: 7/16/2004

Series 24

Date: 4/20/2018

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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