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FIRM PROFILE
Overview
NORTHERN LIGHTS DISTRIBUTORS, LLC is located at 4221 North 203rd Street, Suite 100, Elkhorn, NE 68022 and was first established at Kansas City, Nebraska in 12/31/2003. After operating for 22 years, NORTHERN LIGHTS DISTRIBUTORS, LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of NORTHERN LIGHTS DISTRIBUTORS, LLC’s clients are individuals and 0% of their clients are high net worth individuals. NORTHERN LIGHTS DISTRIBUTORS, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at NORTHERN LIGHTS DISTRIBUTORS, LLC are registered to handle securities or provide financial advice. The firm has 1 disclosures, 1 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access NORTHERN LIGHTS DISTRIBUTORS, LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at NORTHERN LIGHTS DISTRIBUTORS, LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for NORTHERN LIGHTS DISTRIBUTORS, LLC Comes From
Understanding the Statistics for NORTHERN LIGHTS DISTRIBUTORS, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
4221 North 203rd Street, Suite 100, Elkhorn, NE 68022
Small
(855) 891-0091
Nebraska since 12/31/2003
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | 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 |
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Advisor's working at NORTHERN LIGHTS DISTRIBUTORS, LLC
Daniel Wendell Krause
Gayatri R Vyas
Samar Farhangi
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