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LM

Lance D. Mogdics

NORTHERN LIGHTS DISTRIBUTORS
Elkhorn, NE 68022
Some features on this profile are disabled
CRD#: 5358129
LM

Professional summary

Lance Daniel Mogdics, who also goes by Lance Mogdics, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Lance is registered as a RR (Registered Representative) and started their career in finance in 2007. Lance has worked at 12 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Lance Mogdics

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

Click below to view Lance Daniel Mogdics's CRS (Customer Relationship Summary).

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

January 30, 2025 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
BD
CRD#: 126159
Elkhorn, NE
Past

November 23, 2020 - January 30, 2023

LFT SECURITIES, LLC

BD
CRD#: 290210
CINCINNATI, OH
Past

July 26, 2019 - July 20, 2020

ICAPITAL MARKETS LLC

BD
CRD#: 118219
Cincinnati, OH
Past

April 18, 2017 - September 19, 2019

NAVIAN CAPITAL SECURITIES LLC

BD
CRD#: 145037
CINCINNATI, OH
Past

September 9, 2014 - April 5, 2017

INSPEREX LLC

BD
CRD#: 101420
BOCA RATON, FL
Past

September 9, 2014 - April 5, 2017

INCAPITAL DISTRIBUTORS LLC

BD
CRD#: 156622
DELRAY BEACH, FL
Past

October 1, 2013 - August 19, 2014

NORTHSTAR SECURITIES, LLC

BD
CRD#: 150409
GREENWOOD VILLAGE, CO
Past

January 10, 2012 - September 25, 2013

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

March 4, 2010 - January 10, 2012

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
LOUISVILLE, KY
Past

February 23, 2010 - January 10, 2012

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA
CRD#: 453
LOUISVILLE, KY
Past

December 18, 2008 - April 20, 2009

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
BOSTON, MA
Past

June 23, 2008 - April 20, 2009

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

January 18, 2008 - May 19, 2008

THE HUNTINGTON INVESTMENT COMPANY

RIA
CRD#: 16986
MUSKEGON, MI
Past

October 16, 2007 - May 19, 2008

THE HUNTINGTON INVESTMENT COMPANY

BD
CRD#: 16986
MUSKEGON, MI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Nebraska
(1/30/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/14/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/15/2007
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NL
NORTHERN LIGHTS DISTRIBUTORS, LLC
AQUARIUS FUND DISTRIBUTORS, INC. | NORTHERN LIGHTS DISTRIBUTORS, LLC | AQUARIUS FUND DISTRIBUTORS, LLC

CRD#: 126159 / SEC#: , 8-65857

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THE ULTIMUS GROUP MIDCO, LLCSOLE MEMBER
EVANS, GREGORY ASHTONFINANCIAL OPERATIONS PRINCIPAL4850219
GUERETTE, KEVINPRESIDENT2960114
JAMES, DAVID KENNETHMANAGER6998721
PRESTON, STEPHEN LYNNCHIEF COMPLIANCE OFFICER/AML OFFICER2217795
STRAIT, WILLIAM JOHNSECRETARY/GENERAL COUNSEL/MANAGER6123015

Disclosures

Regulatory Event1

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.

Company Information

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159Elkhorn, NE 68022

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