About Us


We are a wholly-owned subsidiary of NorthStar Financial Services Group, LLC headquartered in Omaha, NE. As a company born and managed from investment advisor roots, we understand the challenges you face. What affects you affects us. Whether you’re using our distribution services to access hundreds of established selling agreements, process 12b-1 payments, trade via the NSCC, or submit materials for advertising review, you’ll find no better advocate than Northern Lights Distributors, LLC to help you navigate the complexities of mutual fund distribution.

Treating each relationship uniquely, NLD works in collaboration with investment advisors to grow assets in their funds by offering sales and distribution support and assistance in defining and implementing distribution plans. Through our Strategic Relationship Managers, NLD connects funds with broker-dealers to help establish selling agreements and develop working relationships with their representatives.

Meet the Team


Executive Team

Brian Nielsen
Chief Executive Officer
Bill Wostoupal
President
Mike Nielsen
Chief Compliance Officer
Alma Piscitello
Executive Vice President, Strategic Advisor Services

Strategic Relationships Team

Jaclyn Peal
AVP, Strategic Relationships
Greg Vignoli
Senior Relationship Manager
Flavia Samper
Director, Senior Relationship Manager

Compliance Team

Gary Danahy
Compliance Program Director
Janelle Hardy
Compliance Team Director
Chris Wendt
Compliance Specialist
Scott Smith
Compliance Specialist
Erik Pearson
Compliance Specialist
Jamie Huss
Compliance Specialist

Active Marketing Team

Don Pawluk
Regional Business Development

Check the background of investment professionals on FINRA’s BrokerCheck.

News


NLD Continues to Enhance Business Development & Execution Offerings for Clients

Northern Lights Distributors Builds Out Internal Wholesale Marketing Business with Addition of Flavia Samper as Director of Inside Sales Northern Lights Distributors, LLC (“NLD”) has expanded its Active Wholesale Marketing business with the appointment of Flavia Samper as Director of Inside Sales. In her new role, Ms. Samper will be responsible for working with NLD clients to assess marketing opportunities, and create sales and marketing campaigns to facilitate sales growth and help clients meet their long-term distribution goals. To read the full article click here. 7762-NLD-9/13/2016

Understanding the Nuances of Omnibus Accounts

Alma Piscitello, SVP, Head of Strategic Relationships for Northern Lights Distributors was recently quoted in the Fund Operations article, “Understanding the Nuances of Omnibus Accounts”. The article discusses the rise of omnibus accounts in the mutual fund industry and how that has spurred a new operational role, one that focuses on intermediary relationships and fee structures in an intensely regulated environment. “Managers are asking how intermediaries monitor these transactions, what kind of reporting they are doing, and how they comply with Rule 22c2,” Piscitello said. “Funds have a responsibility to ask the intermediary how they’re going to help. Investment companies still need to have policies in place to monitor trading activity, show the audit trail, and from a compliance point of ...

Business Continuity 101

Business continuity planning has become an area of growing focus in the mutual fund industry as firms move away from the idea that continuity simply means staying in business during an outage and instead move toward the concept of business resiliency. “Business continuity several years ago was about location—it was regarding physical books and records and the ability to operate the organization and its physical infrastructure,” Alma Piscitello, head of strategic relationships at Northern Lights, said. “Fast forward, and it is now looked at through a technology and people-power perspective. It’s about information security and this approach of examining each individual’s continuity.” Piscitello emphasized the importance of having the right people in place as part of a strong continuity plan. She ...

SEC Guidance on Distribution Fees to Increase Oversight of 12b-1 Payments

About Us We are a wholly-owned subsidiary of NorthStar Financial Services Group, LLC headquartered in Omaha, NE. As a company born and managed from investment advisor roots, we understand the challenges you face. What affects you affects us. Whether you’re using our distribution services to access hundreds of established selling agreements, process 12b-1 payments, trade via the NSCC, or submit materials for advertising review, you’ll find no better advocate than Northern Lights Distributors, LLC to help you navigate the complexities of mutual fund distribution. Treating each relationship uniquely, NLD works in collaboration with investment advisors to grow assets in their funds by offering sales and distribution support and assistance in defining and implementing distribution plans. Through our Strategic Relationship Managers, NLD connects ...

See Full News Archive

Events


Apr
30
Sun
NAAIM 2017 Uncommon Knowledge
Apr 30 – May 3 all-day

The Gemini Companies will be exhibiting at NAAIM 2017 Uncommon Knowledge on April 28-May 3, 2017 in San Diego, CA. Feel free to stop by our booth and say hello!

May
3
Wed
ICI 2017 General Membership Meeting (GMM)
May 3 – May 5 all-day

The Gemini Companies will be exhibiting at ICI’s 2017 General Membership Meeting (GMM) in Washington D.C. Please stop by our booth and say hello!

May
10
Wed
GCMFA – Reds Game
May 10 all-day

The Gemini Companies will be attending the GCMFA – Reds Game on May 10th. We look forward to connecting with you!

May
16
Tue
SALT
May 16 – May 19 all-day

The Gemini Companies will be attending the SALT Conference in Las Vegas, NV. Please stop by our Cabana & say hello!

Jun
4
Sun
GTE Wealth Forum
Jun 4 – Jun 7 all-day

The Gemini Companies will be exhibiting at GTE Wealth Forum in Austin, TX. Please stop by our booth and say hello!

Jun
5
Mon
SSN National Conference Discover
Jun 5 – Jun 8 all-day

The Gemini Companies will be exhibiting at the SSN National Conference Discover. Please stop by our booth and say hello!

Jun
9
Fri
Stamford Breakfast
Jun 9 all-day

The Gemini Companies will be attending the Stamford Breakfast in Connecticut on June 9th. We hope to connect with you there!

Jun
14
Wed
Pershing INSITE
Jun 14 – Jun 16 all-day

The Gemini Companies will be Speaking and Exhibiting at Pershing INSITE. Please stop by our booth and say hello!

Jun
15
Thu
BattleFin Discovery Day Intrepid
Jun 15 all-day

The Gemini Companies will be attending BattleFin Discovery Day Intrepid in New York City on June 15th. We hope to see you there!

Jun
19
Mon
PGA Travelers Championship
Jun 19 – Jun 25 all-day

The Gemini Companies will be attending the PGA Travelers Championship in Cromwell, CT June 19-25. We hope to see you there!

7060-NLD-2/25/2016