Michael S. Terilli
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.
Michael Scott Terilli, who also goes by Michael Terilli, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2007. Michael had worked at 8 firms and has passed the Series 66, SIE, Series 31 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
March 17, 2016 - August 19, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
May 19, 2014 - January 6, 2016
HATTERAS CAPITAL DISTRIBUTORS, LLC
February 14, 2011 - May 23, 2014
PIMCO INVESTMENTS LLC
February 1, 2011 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
November 28, 2007 - September 22, 2009
CITIGROUP GLOBAL MARKETS INC.
September 10, 2007 - December 11, 2007
CHASE INVESTMENT SERVICES CORP.
September 10, 2007 - December 11, 2007
CHASE INVESTMENT SERVICES CORP.
April 2, 2007 - September 5, 2007
MORGAN STANLEY & CO. LLC
April 2, 2007 - September 5, 2007
MORGAN STANLEY & CO. LLC
March 13, 2007 - April 2, 2007
MORGAN STANLEY DW INC.
February 7, 2007 - April 2, 2007
MORGAN STANLEY DW 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.
