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DE

Dan K. Ellenwood

ULTIMUS FUND DISTRIBUTORS
Cincinnati, OH 45246
Some features on this profile are disabled
CRD#: 2806987
DE

Professional summary

Dan Keith Ellenwood, who also goes by Dan K Ellenwood, Dan Keith Ellenwood, is a registered financial professional currently at ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio.

Dan is registered as a RR (Registered Representative) and started their career in finance in 1996. Dan has worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dan K Ellenwood | Dan Keith Ellenwood

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 Dan Keith Ellenwood'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

July 15, 2024 - Present

ULTIMUS FUND DISTRIBUTORS, LLC

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

December 2, 2022 - July 3, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Chicago, IL
Past

September 22, 2021 - December 31, 2022

COMPASS DISTRIBUTORS, LLC

BD
CRD#: 172662
Chicago, IL
Past

August 13, 2013 - March 19, 2021

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

April 8, 2010 - February 12, 2013

PEAK6 PERFORMANCE MANAGEMENT LLC

BD
CRD#: 137368
CHICAGO, IL
Past

December 8, 1997 - March 24, 2010

AUSTIN ATLANTIC CAPITAL INC.

BD
CRD#: 43981
CHICAGO, IL
Past

October 10, 1996 - December 3, 1997

SHAY GOVERNMENT SECURITIES CO.

BD
CRD#: 27214
Past

October 10, 1996 - December 8, 1997

SHAY FINANCIAL SERVICES CO.

BD
CRD#: 27215
IRVING, TX

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/27/1997
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: 11/18/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 27
Date: 4/28/1997
Financial and Operations 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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