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Nicole L. Peters

ULTIMUS FUND DISTRIBUTORS
Cincinnati, OH 45246
Some features on this profile are disabled
CRD#: 5369032
NP

Professional summary

Nicole Lynn Peters, who also goes by Nicole L Austin, Nikki Austin, Nicole Lynn Peters, Nikki Peters, Nicole Peters, Nicole L Taylor, Nikki Taylor, is a registered financial professional currently at ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio and NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Nicole is registered as a RR (Registered Representative) and started their career in finance in 2007. Nicole has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicole L Austin | Nikki Austin | Nicole Lynn Peters | Nikki Peters | Nicole Peters | Nicole L Taylor | Nikki Taylor

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 Nicole Lynn Peters'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

December 2, 2021 - Present

ULTIMUS FUND DISTRIBUTORS, LLC

Office #1: 225 Pictoria Drive Suite 450, Cincinnati, OH 45246
BD
CRD#: 104177
Cincinnati, OH
Current

December 8, 2021 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

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

December 5, 2019 - December 3, 2021

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
HAMILTON, OH
Past

March 18, 2019 - December 3, 2021

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

March 14, 2019 - December 3, 2021

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

July 6, 2016 - March 6, 2019

UNIFIED FINANCIAL SECURITIES, LLC

BD
CRD#: 7868
INDIANAPOLIS, IN
Past

August 8, 2014 - March 6, 2019

ULTIMUS FUND DISTRIBUTORS, LLC

BD
CRD#: 104177
CINCINNATI, OH
Past

March 23, 2011 - August 5, 2014

FIFTH THIRD SECURITIES, INC.

BD
CRD#: 628
CINCINNATI, OH
Past

September 29, 2007 - March 9, 2011

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY

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
Ohio
(12/2/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/5/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 9/4/2007
Uniform Securities Agent 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: 9/27/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/14/2011
General Securities Principal 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#: 126159Cincinnati, OH 45246

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