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GG

Gweneth K. Gosselink

ULTIMUS FUND DISTRIBUTORS
Cincinnati, OH 45246
Some features on this profile are disabled
CRD#: 2569618
GG

Professional summary

Gweneth Kay Gosselink, who also goes by Gwen Brand, Gwen K Gosselink, Gwen Gosselink, Gweneth K Gosselink, is a registered financial professional currently at ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio.

Gweneth is registered as a RR (Registered Representative) and started their career in finance in 1995. Gweneth has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 28 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gwen Brand | Gwen K Gosselink | Gwen Gosselink | Gweneth K Gosselink

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gweneth Kay Gosselink's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 8, 2021 - Present

ULTIMUS FUND DISTRIBUTORS, LLC

Office #1: 225 Pictoria Drive Suite 450, Cincinnati, OH 45246
BD
CRD#: 104177
Cincinnati, OH
Past

September 20, 2017 - December 31, 2019

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Des Moines, IA
Past

November 26, 2014 - December 31, 2016

BROKER DEALER FINANCIAL SERVICES CORP.

BD
CRD#: 8073
WEST DES MOINES, IA
Past

July 30, 2007 - March 12, 2014

ATHENE SECURITIES, LLC

BD
CRD#: 36867
WEST DES MOINES, IA
Past

November 6, 1997 - April 9, 1999

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

June 6, 1997 - October 27, 1997

STANTON INVESTMENT SERVICES, INC.

BD
CRD#: 29462
PLYMOUTH, MN
Past

August 23, 1995 - June 17, 1997

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

January 5, 1995 - August 23, 1995

IAC SECURITIES, INC.

BD
CRD#: 14081
TINLEY PARK, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Iowa
(12/8/2021)
RR
Ohio
(12/9/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 5/16/2009
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/27/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/8/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 28
Date: 4/11/2013
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/1/2007
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

UF
ULTIMUS FUND DISTRIBUTORS, LLC
ULTIMUS FUND DISTRIBUTORS, LLC

CRD#: 104177 / SEC#: , 8-52643

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
225 Pictoria Drive Suite 450, Cincinnati, OH 45246
Mailing Address
225 Pictoria Drive Suite 450, Cincinnati, OH 45246
Phone number
(513) 587-3400
Established
Ohio since 05/31/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ULTIMUS FUND SOLUTIONS, LLCOWNER
EVANS, GREGORY ASHTONFINANCIAL OPERATIONS PRINCIPAL4850219
GUERETTE, KEVIN MICHAELPRESIDENT2960114
PRESTON, STEPHEN LYNNCHIEF COMPLIANCE OFFICER/AML OFFICER2217795

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ULTIMUS FUND DISTRIBUTORS, LLC

CRD#: 104177Cincinnati, OH 45246

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