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MC

Michael J. Connolly

ULTIMUS FUND DISTRIBUTORS
CINCINNATI, OH 45246
Some features on this profile are disabled
CRD#: 4434334
MC
Michael James ConnollyULTIMUS FUND DISTRIBUTORS

Professional summary

Michael James Connolly, who also goes by Michael J. Connolly, Michael J. Connolly, Mike Connolly, is a registered financial professional currently at ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio.

Michael is registered as a RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Aliases

Michael J. Connolly | Michael J. Connolly | Mike Connolly

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 Michael James Connolly'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 4, 2026 - Present

ULTIMUS FUND DISTRIBUTORS, LLC

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

December 9, 2021 - March 17, 2025

FEF DISTRIBUTORS, LLC

BD
CRD#: 46585
NEW YORK, NY
Past

February 19, 2021 - February 4, 2022

BMO ASSET MANAGEMENT CORP.

RIA
CRD#: 106466
BALTIMORE, MD
Past

May 18, 2020 - December 31, 2020

BMO ASSET MANAGEMENT CORP.

RIA
CRD#: 106466
Baltimore, MD
Past

May 1, 2020 - December 3, 2021

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
PORTLAND, ME
Past

May 1, 2010 - November 26, 2019

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA
CRD#: 108257
BALTIMORE, MD
Past

May 1, 2010 - November 26, 2019

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
BOSTON, MA
Past

February 16, 2007 - May 1, 2010

BOFA ADVISORS, LLC

RIA
CRD#: 107900
BOSTON, MA
Past

January 17, 2007 - May 1, 2010

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

January 1, 2005 - January 12, 2007

MMC SECURITIES LLC

BD
CRD#: 103846
NORWOOD, MA
Past

September 25, 2001 - January 1, 2005

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

BD
CRD#: 7325
BOSTON, MA

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
Maryland
(8/4/2026)
RR
New York
(8/4/2026)
RR
Ohio
(8/4/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/15/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/14/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/2003
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/24/2001
Investment Company Products/Variable Contracts Representative 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)

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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