Matthew J. Galvin

NORTHERN LIGHTS DISTRIBUTORS

Elkhorn, NE 68022

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CRD#: 6025577

Professional summary

Matthew James Galvin, CFP®, who also goes by Matthew James Galvin, Matthew Galvin, is a registered financial professional currently at NORTHERN LIGHTS DISTRIBUTORS, LLC located in Elkhorn, Nebraska.

Matthew is registered as a RR (Registered Representative) and started their career in finance in 2012. Matthew has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matthew James Galvin | Matthew Galvin

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 Matthew James Galvin'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®

CFP^®

Certified Financial Planner

Experience

Current

April 3, 2025 - Present

NORTHERN LIGHTS DISTRIBUTORS, LLC

Office #1: 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022

CRD#: 126159

Elkhorn, NE

Past

July 19, 2023 - March 10, 2025

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

Wayne, PA

Past

December 8, 2022 - June 23, 2023

PACER FINANCIAL, INC.

CRD#: 137040

MALVERN, PA

Past

June 28, 2017 - November 29, 2022

FRED ALGER & COMPANY, LLC

CRD#: 5300

NEW YORK, NY

Past

January 3, 2017 - June 14, 2017

MILLINGTON SECURITIES, INC.

CRD#: 147298

RED BANK, NJ

Past

July 12, 2012 - December 31, 2016

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

May 3, 2012 - June 14, 2017

WBI INVESTMENTS, LLC

RIA

CRD#: 106336

RED BANK, NJ

State Registrations and Notice Filings

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

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

California
(4/3/2025)

Nebraska
(4/3/2025)

New Jersey
(4/3/2025)

Exams

State Security Law Exam

Series 63

Date: 6/13/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/2/2012

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/11/2012

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

NORTHERN LIGHTS DISTRIBUTORS, LLC

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

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

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)

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

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.

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Advisor Monitoring

Firm Stability Insights

Matthew J. Galvin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Matthew James Galvin's CRS (Customer Relationship Summary).

Certified licenses

Experience

HARTFORD FUNDS DISTRIBUTORS, LLC

PACER FINANCIAL, INC.

FRED ALGER & COMPANY, LLC

MILLINGTON SECURITIES, INC.

QUASAR DISTRIBUTORS, LLC

WBI INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/13/2012

Series 65

Date: 5/2/2012

SIE

Date: 10/1/2018

Series 7

Date: 12/12/2016

Series 6

Date: 7/11/2012

FINRA

Current Firm

NORTHERN LIGHTS DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NORTHERN LIGHTS DISTRIBUTORS, LLC

TRUST BUT VERIFY

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