Michael D. Flores
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.
Michael David Flores, who also goes by Michael Flores, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2012. Michael had worked at 6 firms and has passed the Series 66, SIE, Series 3 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
March 5, 2015 - March 10, 2016
NORTHERN LIGHTS DISTRIBUTORS, LLC
February 12, 2015 - March 10, 2016
ORION PORTFOLIO SOLUTIONS, LLC
January 28, 2014 - May 19, 2014
MML INVESTORS SERVICES, LLC
January 28, 2014 - May 19, 2014
MML DISTRIBUTORS, LLC
February 25, 2013 - November 11, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 25, 2013 - November 11, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 31, 2012 - October 18, 2012
EDWARD JONES
August 10, 2012 - October 18, 2012
EDWARD JONES
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
