Edmond M. Moylan
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.
Edmond Maurice O'connor Moylan, who also goes by Edmond Maurice Moylan, Edmond Maurice Oconnor Moylan, was a registered financial professional .
Edmond is a previously registered financial professional and started their career in finance in 2006. Edmond had worked at 5 firms and has passed the Series 66, SIE 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
July 27, 2021 - December 10, 2021
NORTHERN LIGHTS DISTRIBUTORS, LLC
December 6, 2018 - June 18, 2021
FRANKLIN DISTRIBUTORS, LLC
September 12, 2011 - January 31, 2017
GOLDMAN SACHS & CO. LLC
August 27, 2009 - August 20, 2010
CHASE INVESTMENT SERVICES CORP.
August 27, 2009 - August 20, 2010
CHASE INVESTMENT SERVICES CORP.
September 27, 2006 - August 20, 2009
AMERIPRISE FINANCIAL 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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