Curtis E. Smith

ULTIMUS FUND DISTRIBUTORS

CINCINNATI, OH 45246

Some features on this profile are disabled

CRD#: 6538723

Professional summary

Curtis Eric Smith, who also goes by Curtis Eric Smith Jr, is a registered financial professional currently at ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio.

Curtis is registered as a RR (Registered Representative) and started their career in finance in 2015. Curtis has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Aliases

Curtis Eric Smith Jr

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 Curtis Eric Smith'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 18, 2026 - Present

ULTIMUS FUND DISTRIBUTORS, LLC

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

CRD#: 104177

CINCINNATI, OH

Past

February 3, 2020 - September 17, 2026

GUIDESTONE FINANCIAL SERVICES

CRD#: 148249

DALLAS, TX

Past

September 4, 2015 - August 3, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

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

Alabama
(9/18/2026)

Alaska
(9/18/2026)

Arizona
(9/18/2026)

Arkansas
(9/18/2026)

California
(9/18/2026)

Colorado
(9/18/2026)

Connecticut
(9/18/2026)

Delaware
(9/18/2026)

District of Columbia
(9/18/2026)

Florida
(9/18/2026)

Georgia
(9/18/2026)

Hawaii
(9/18/2026)

Idaho
(9/18/2026)

Illinois
(9/18/2026)

Indiana
(9/18/2026)

Iowa
(9/18/2026)

Kansas
(9/18/2026)

Kentucky
(9/18/2026)

Louisiana
(9/18/2026)

Maine
(9/18/2026)

Maryland
(9/18/2026)

Massachusetts
(9/18/2026)

Michigan
(9/18/2026)

Minnesota
(9/18/2026)

Mississippi
(9/18/2026)

Missouri
(9/18/2026)

Montana
(9/18/2026)

Nebraska
(9/18/2026)

Nevada
(9/18/2026)

New Hampshire
(9/18/2026)

New Jersey
(9/18/2026)

New Mexico
(9/18/2026)

New York
(9/18/2026)

North Carolina
(9/18/2026)

North Dakota
(9/18/2026)

Ohio
(9/18/2026)

Oklahoma
(9/18/2026)

Oregon
(9/18/2026)

Pennsylvania
(9/18/2026)

Rhode Island
(9/18/2026)

South Carolina
(9/18/2026)

South Dakota
(9/18/2026)

Tennessee
(9/18/2026)

Texas
(9/18/2026)

Utah
(9/18/2026)

Vermont
(9/18/2026)

Virginia
(9/18/2026)

Washington
(9/18/2026)

West Virginia
(9/18/2026)

Wisconsin
(9/18/2026)

Wyoming
(9/18/2026)

Exams

What does exam status mean?

State Security Law Exam

Series 63

Status Unavailable

Passed: 9/11/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Status Unavailable

Passed: 8/3/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Status Unavailable

Passed: 9/4/2015

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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Firm Stability Insights

Curtis E. Smith

Professional summary

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Curtis Eric Smith's CRS (Customer Relationship Summary).

Certified licenses

Experience

ULTIMUS FUND DISTRIBUTORS, LLC

GUIDESTONE FINANCIAL SERVICES

FIDELITY BROKERAGE SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Passed: 9/11/2015

SIE

Passed: 8/3/2018

Series 7

Passed: 9/4/2015

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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