James C. Boothby
Professional summary
James Clifford Boothby, who also goes by Jay Boothby, James Boothey, James Boothby, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.
James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Clifford Boothby's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 2, 2025 - Present
NORTHERN LIGHTS DISTRIBUTORS, LLC
Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022January 3, 2022 - May 2, 2025
FORESIDE FINANCIAL SERVICES, LLC
June 2, 2020 - December 31, 2021
CBIS FINANCIAL SERVICES, INC.
March 7, 2011 - April 9, 2020
LAZARD ASSET MANAGEMENT LLC
March 7, 2011 - April 9, 2020
LAZARD ASSET MANAGEMENT SECURITIES LLC
January 21, 2009 - December 15, 2010
BARCLAYS CAPITAL INC.
September 22, 2008 - December 15, 2010
BARCLAYS CAPITAL INC.
August 7, 2008 - October 15, 2008
LEHMAN BROTHERS INC.
July 11, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
April 3, 2007 - July 10, 2007
DELAWARE DISTRIBUTORS, L.P.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/2/2025)
(7/2/2025)
(7/2/2025)
Exams
FINRA
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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Company Information
NORTHERN LIGHTS DISTRIBUTORS, LLC
CRD#: 126159Elkhorn, NE 68022TRUST BUT VERIFY
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