Todd C. Giessler

ULTIMUS FUND DISTRIBUTORS

Cincinnati, OH 45246

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CRD#: 2621448

Professional summary

Todd Christopher Giessler, who also goes by Todd C Giessler, is a registered financial professional currently at ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio.

Todd is registered as a RR (Registered Representative) and started their career in finance in 1995. Todd has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Todd C Giessler

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 Todd Christopher Giessler'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

August 9, 2012 - Present

ULTIMUS FUND DISTRIBUTORS, LLC

Office #1: 225 Pictoria Drive Suite 450, Cincinnati, OH 45246

CRD#: 104177

Cincinnati, OH

Past

April 16, 2010 - January 10, 2011

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

DUBLIN, OH

Past

October 2, 2009 - January 12, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

POWELL, OH

Past

October 2, 2009 - January 12, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

POWELL, OH

Past

August 7, 2008 - February 18, 2009

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

May 25, 2005 - June 11, 2008

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

October 10, 1996 - February 18, 2009

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

August 7, 1995 - December 1, 1995

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

August 7, 1995 - December 1, 1995

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

State Registrations and Notice Filings

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

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

Florida
(8/9/2012)

Michigan
(8/9/2012)

Ohio
(8/9/2012)

Exams

State Security Law Exam

Series 63

Date: 4/27/2012

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 4/29/2005

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/30/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/4/1995

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ULTIMUS FUND DISTRIBUTORS, LLC

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

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)

Documents

Direct owners and executive officers

Name	Position	CRD#
ULTIMUS FUND SOLUTIONS, LLC	OWNER
EVANS, GREGORY ASHTON	FINANCIAL OPERATIONS PRINCIPAL	4850219
GUERETTE, KEVIN MICHAEL	PRESIDENT	2960114
PRESTON, STEPHEN LYNN	CHIEF COMPLIANCE OFFICER/AML OFFICER	2217795

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.

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Advisor Monitoring

Firm Stability Insights

Todd C. Giessler

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Todd Christopher Giessler's CRS (Customer Relationship Summary).

Certified licenses

Experience

NATIONWIDE INVESTMENT SERVICES CORPORATION

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/27/2012

Series 65

Date: 4/29/2005

SIE

Date: 10/1/2018

Series 7

Date: 10/30/2000

Series 6

Date: 8/4/1995

FINRA

Current Firm

ULTIMUS FUND DISTRIBUTORS, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

ULTIMUS FUND DISTRIBUTORS, LLC

TRUST BUT VERIFY

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