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KZ

Keith Michael Zeto

ULTIMUS FUND DISTRIBUTORS
CINCINNATI, OH
·CRD# 2646446·28 years experience

Professional Summary

Keith Michael Zeto, who also goes by Keith M Zeto, is a registered financial advisor currently at ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio. Keith is registered as a RR (Registered Representative) and started their career in finance in 1997. Keith has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 26 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Keith M Zeto

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Contact Information

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

28 years in the financial services industry

Current & Past Employments

ULTIMUS FUND DISTRIBUTORS, LLC·CRD# 104177
BD
225 Pictoria Drive Suite 450, Cincinnati, OH 45246
September 16, 2025 - Present
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.·CRD# 144464
BD
Denver, CO
January 2, 2014 - August 29, 2025
ALPS DISTRIBUTORS, INC.·CRD# 16853
BD
Denver, CO
July 1, 2011 - December 31, 2013
TRANSAMERICA CAPITAL, LLC·CRD# 8217
BD
Denver, CO
April 14, 2004 - June 15, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC·CRD# 16164
BD
Philadelphia, PA
October 3, 2000 - April 16, 2004
ALLIANZ LIFE FINANCIAL SERVICES, LLC·CRD# 612
BD
Minneapolis, MN
September 30, 1999 - September 7, 2000
WELLS FARGO CLEARING SERVICES, LLC·CRD# 19616
BD
St. Louis, MO
November 20, 1998 - September 20, 1999
JOHN G. KINNARD AND COMPANY, INCORPORATED·CRD# 466
BD
Minneapolis, MN
August 12, 1998 - December 2, 1998
EDWARD JONES·CRD# 250
BD
St. Louis, MO
December 2, 1997 - July 7, 1998

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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)

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

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

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Florida
(9/16/2025)
RR
Minnesota
(9/16/2025)
RR
Ohio
(9/16/2025)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1997About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 1997About the Series 7 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Nov 2006About the Series 26 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Keith Michael Zeto's CRS (Customer Relationship Summary).

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