Keep your shareholders well informed.
Ultimus provides statutory fund distribution services through its wholly-owned subsidiary, Ultimus Fund Distributors, LLC, a registered broker-dealer and member of FINRA.
What We Provide ...
- Serve as Fund's legal Underwriter/Distributor
- Review all distribution related documents and contracts
- Provide registered representative administration including:
- Oversight of required FINRA licenses
- Coordinate and monitor all continuing education requirements
- Provide supervisory procedures and support
- Establish and maintain selected dealer agreements with investment dealers
- Review and file all advertising, sales literature and fund websites
- Oversee the collection and payment process for sales loads and 12B-1 fees
- Prepare reports for the Board regarding the Fund's distribution plan and related activity
