Carlos A. Hammer

ULTIMUS FUND DISTRIBUTORS

Cincinnati, OH 45246

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CRD#: 4753376

Professional summary

Carlos A Hammer, who also goes by Carlos Hammer, is a registered financial professional currently at ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio.

Carlos is registered as a RR (Registered Representative) and started their career in finance in 2006. Carlos has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Carlos Hammer

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 Carlos A Hammer'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

September 17, 2025 - Present

ULTIMUS FUND DISTRIBUTORS, LLC

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

CRD#: 104177

Cincinnati, OH

Past

September 28, 2022 - September 17, 2025

FORESIDE FINANCIAL SERVICES, LLC

CRD#: 148477

PORTLAND, ME

Past

January 3, 2017 - August 29, 2022

INLAND SECURITIES CORPORATION

CRD#: 15807

OAK BROOK, IL

Past

February 18, 2016 - January 3, 2017

SAMMONS FINANCIAL NETWORK, LLC

CRD#: 158538

WEST DES MOINES, IA

Past

March 20, 2015 - February 11, 2016

GRIFFIN CAPITAL SECURITIES, LLC

CRD#: 37739

Phoenix, AZ

Past

February 2, 2010 - April 14, 2015

CCO CAPITAL, LLC

CRD#: 31147

PHOENIX, AZ

Past

November 5, 2009 - January 8, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

PHOENIX, AZ

Past

June 26, 2006 - October 2, 2009

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

SCOTTSDALE, AZ

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

Arizona
(9/17/2025)

Florida
(9/17/2025)

Ohio
(9/18/2025)

Exams

State Security Law Exam

Series 63

Date: 5/31/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/23/2006

General Securities 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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Carlos A. Hammer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Carlos A Hammer's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORESIDE FINANCIAL SERVICES, LLC

INLAND SECURITIES CORPORATION

SAMMONS FINANCIAL NETWORK, LLC

GRIFFIN CAPITAL SECURITIES, LLC

CCO CAPITAL, LLC

CHASE INVESTMENT SERVICES CORP.

VOYA INVESTMENTS DISTRIBUTOR, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/31/2006

SIE

Date: 10/1/2018

Series 7

Date: 6/23/2006

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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