Daniel T. Smith
Professional summary
Daniel Tyler Smith is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2010. Daniel has 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) - BD
Click below to view Daniel Tyler Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2024 - Present
NORTHERN LIGHTS DISTRIBUTORS, LLC
Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022November 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
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Visual representation of state registrations
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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