Northern Funds Distributors, LLC

Broker-DealerFINRA MemberEst. 1999
Total AUM
—
Advisory reps
43
Avg account
$0

Firm details

Headquarters
Portland, Maine
CRD number
45943
Registered since
February 16, 1999

Firm profile

FINTRX

Overview

Northern Funds Distributors, LLC is organized as a limited liability company and is classified in FINTRX as a fund distributor. The firm’s FINRA/SEC registration dates back to 1999. Ownership is listed as a combination of a domestic entity and an individual. FINTRX characterizes the firm as a distributor rather than an allocator of capital: it is marked “Capital Allocator: No.” The profile also indicates the firm is not an active ESG investor, is not listed as a multi-state adviser, is not newly formed, and is not identified as a pension consultant or related adviser. FINTRX does not list advisory activities, fee schedules, or a client base for the firm in the available snapshot.

Assets & Accounts

Location & Offices

Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Owners & executives

2 of 2
  • Gordon Taylor

    Gordon Taylor

    Chief Compliance OfficerCRD 2990648

  • Susan La Fond

    Susan La Fond

    Managing Director, Chief Compliance OfficerCRD 4512785

Contacts

3 of 41
  • Tariq Akbar

    Tariq Akbar

    ConsultantCRD 5245852

  • Jacqueline Lyons

    Jacqueline Lyons

    Marketing ComplianceCRD 5291182

  • Ryan Ripkowski

    Ryan Ripkowski

    Financial AdvisorCRD 7182218

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Wealth teams

FINTRX

Newly hired reps

FINTRX

Recent M&A activity

FINTRX

Recent filings

FINTRX

Awards

FINTRX

Location

Primary office

Portland, ME

Cumberland

Location

Portland, ME

Headquartered in Portland, ME, anchoring the Portland-Lewiston-South Portland, ME metro in the Northeast.

Metro area
Portland-Lewiston-South Portland, ME
Region
Northeast
County
Cumberland
Address
190 Middle St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth