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Susan Rae Yerkey

Northern Lights Distributors, LLC

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About Susan Rae Yerkey

Susan Yerkey is a financial advisor with over 27 years of experience in the industry. Susan is currently registered with Northern Lights Distributors, LLC in Nebraska and Texas. Previously, Susan was employed with USCA Securities LLC, UBS Financial Services Inc., A.G. Edwards & Sons, Inc., Stifel, Nicolaus & Company, Incorporated, D.A. Davidson & Co., Tucker Anthony Incorporated, Tucker Anthony Cleary Gull, Hanifen, Imhoff Inc., Smith Barney Inc. Susan holds the Series 7, Series 9, Series 10, Series 63 and Series 66 licenses.

Firm Information

Susan Yerkey is currently registered with Northern Lights Distributors, LLC. Northern Lights Distributors, LLC is a Limited Liability Company formed in December 2003. The company is registered in all 50 states and the District of Columbia.

Not reported

Assets Under Management

Not reported

Total Clients

88

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Susan Yerkey’s Registration & Firm History

NE

01/29/2024 - Present

Northern Lights Distributors, LLC (ELKHORN NE)

TX

01/13/2011 - 12/05/2023

USCA SECURITIES LLC (HOUSTON TX)

TX

11/14/2007 - 01/21/2011

UBS FINANCIAL SERVICES INC. (HOUSTON TX)

TX

09/01/2005 - 11/14/2007

A. G. EDWARDS & SONS, INC. (HOUSTON TX)

MO

08/31/2004 - 09/01/2005

STIFEL, NICOLAUS & COMPANY, INCORPORATED (ST. LOUIS MO)

MT

01/04/2002 - 06/27/2003

D.A. DAVIDSON & CO. (GREAT FALLS MT)

MA

11/01/1999 - 11/15/2001

TUCKER ANTHONY INCORPORATED (BOSTON MA)

WI

08/26/1999 - 11/01/1999

TUCKER ANTHONY CLEARY GULL (MILWAUKEE WI)

CO

02/23/1998 - 07/20/1999

HANIFEN, IMHOFF INC. (DENVER CO)

CO

02/15/1996 - 02/23/1998

HANIFEN, IMHOFF INC. (DENVER CO)

NY

08/06/1993 - 10/23/1995

SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 12/15/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/11/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/25/2000

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/24/2000

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/05/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Susan Rae Yerkey.
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