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AB

Alex M. Borromeo

ULTIMUS FUND DISTRIBUTORS
Cincinnati, OH 45246
Some features on this profile are disabled
CRD#: 7468675
AB

Professional summary

Alex Michael Borromeo, who also goes by Aalex Borromeo, Alex Michael Borromeo, Alex Borromeo, is a registered financial professional currently at ULTIMUS FUND DISTRIBUTORS, LLC located in Cincinnati, Ohio.

Alex is registered as a RR (Registered Representative) and started their career in finance in 2023. Alex has worked at 4 firms and has passed the Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Aalex Borromeo | Alex Michael Borromeo | Alex Borromeo

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 Alex Michael Borromeo'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, 2025 - Present

ULTIMUS FUND DISTRIBUTORS, LLC

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

November 12, 2024 - September 17, 2025

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
New York, NY
Past

September 1, 2023 - November 1, 2024

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
San Francisco, CA
Past

March 13, 2023 - September 1, 2023

TD AMERITRADE, INC.

BD
CRD#: 7870
OMAHA, NE

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
Florida
(9/18/2025)
RR
New York
(9/18/2025)
RR
Ohio
(9/19/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 6/14/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/11/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/4/2022
Securities Industry Essentials 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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