About Us

Ultimus Fund Solutions & Northern Lights Distributors, LLC are broker-dealers specializing in mutual fund distribution. We help our fund clients navigate the distribution universe by offering a high touch service and collaboration with financial intermediaries and industry partners.

We are headquartered in Cincinnati, Ohio and have office locations in Omaha, Nebraska, Hauppauge, NY, Columbus, OH and are a subsidiary of The Ultimus Group, LLC. As a company with deep experience in fund administration, we understand the challenges advisers face in distribution. The challenges that affect you, affect us too. Whether you’re using our distribution services to access our experience in executing hundreds of established selling agreements, process 12b-1 payments, trade via the NSCC, or submitting materials for advertising review, you’ll find no better advocate than Ultimus Fund Distributors and Northern Lights Distributors, LLC to help you navigate the complexities of mutual fund distribution.

Meet the Team

Executive Team

Kevin M. Guerette
Bill Strait
General Counsel
Stephen Preston
Chief Compliance Officer
Douglas Jones
Vice President

Check the background of investment professionals on FINRA’s BrokerCheck.