Berkeley D. Brown
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.
Berkeley Del Brown was a registered financial professional .
Berkeley is a previously registered financial professional and started their career in finance in 2004. Berkeley had worked at 5 firms and has passed the Series 66, Series 6 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 19, 2013 - August 9, 2013
NORTHERN LIGHTS DISTRIBUTORS, LLC
July 6, 2007 - December 3, 2007
TD AMERITRADE, INC.
July 6, 2007 - December 3, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
June 29, 2007 - December 3, 2007
TD AMERITRADE, INC.
September 9, 2005 - June 29, 2007
PACIFIC SELECT DISTRIBUTORS, LLC
January 5, 2005 - June 30, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
December 6, 2004 - June 30, 2005
THRIVENT INVESTMENT MANAGEMENT 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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