Daniel T. Smith
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.
Daniel Tyler Smith was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 2010. Daniel had worked at 11 firms and has passed the Series 66, Series 63, 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
June 14, 2024 - May 26, 2026
NORTHERN LIGHTS DISTRIBUTORS, LLC
November 3, 2023 - March 28, 2024
RUSSELL INVESTMENTS
August 1, 2023 - March 28, 2024
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
August 14, 2020 - January 4, 2024
DAYBRIGHT ADVISORY SERVICES, INC.
September 16, 2019 - April 27, 2020
REDTREE INVESTMENT GROUP
July 13, 2018 - August 23, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
November 26, 2014 - July 13, 2018
STRATEGIC ADVISERS LLC
November 17, 2014 - August 16, 2019
FIDELITY BROKERAGE SERVICES LLC
February 19, 2014 - November 12, 2014
FIRST COMMAND BROKERAGE SERVICES, INC.
February 19, 2014 - November 12, 2014
FIRST COMMAND BROKERAGE SERVICES, INC.
January 24, 2013 - December 16, 2013
TD AMERITRADE, INC.
January 24, 2013 - December 16, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 15, 2010 - December 16, 2013
TD AMERITRADE, 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.
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