Northern Lights Distributors, LLC (NLD) offers statutory underwriting services for exchange traded funds (ETFs). NLD’s Strategic Relationships Team leverages relationship with authorized participants (APs) and investment product platforms to make introductions on behalf of investment advisor clients and promote their ETF product offering. As principal underwriting to the ETF, NLD negotiates and enters into authorized participant agreements.

NLD Distribution Services

  • Assists with the introduction to service providers and partners including custodians, law firms, accounting firms and APs
  • Provides sales and marketing compliance review and approval in accordance with FINRA and SEC requirements via our web portal
  • Provides a dedicated Strategic Relationship Manager
  • Participates in AP engagement
  • Coordinates the AP agreement process
  • Evaluates and provides guidance on marketing content
  • Project plan, semi annual report, and cross-team coordination
  • Facilitates purchase and redemption order placement in-house or with third-party partners


Northern Lights Distributors, LLC (NLD)