REM1
COURTESY REMINDER - SEC. 8 (6-YR) E-MAILED
05/25/2026
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Official data from USPTO
ULTIMUS FUND SOLUTIONS
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Active USPTO registrationType: CombinedOffice: United States
Risk and opportunity diagnosis
Executive reading for naming, filing, and monitoring decisions.
USPTO status
Active USPTO registration
Case type
Application and registration
Recorded events
46
Latest update
05/26/2026
Trademark type
Combined
Nice classes
35, 36, 45
Filing date
03/03/2020
Registration date
05/25/2021
Expiration date
-
Complete case details
Structured fields from the responsible authority and the official record.
Status date
05/25/2021
Last transaction
05/26/2026
Responsible office
United States Patent and Trademark Office
Status code
700
Official register
Principal Register
First use anywhere
08/02/2019
First use in commerce
08/02/2019
Drawing code
3
Owner type
16
Owner location
Clifton Park, NY, US
Examiner
TARASCIO, MAUREEN J
Law office
M60
Current location
PUBLICATION AND ISSUE SECTION
Mark description
The mark consists of a design of a stylized pyramid next to the stylized wording "ULTIMUS FUND SOLUTIONS".
Holders and representatives
Holders
Ultimus Fund Solutions, LLC
Ultimus Fund Solutions, LLC
Representatives
Francis John Ciaramella, Esquire Francis John Ciaramella, PLLC
Technical classification
Nice Classes
Class 35Class 36Class 45
Vienna Codes
No Vienna codes available.
Goods and services
Class 35
Business management and consultation services for othersproviding fund organization services to mutual funds and mutual fund companies in the nature of business operation consultationfinancial statement analysis for businessesbusiness assistance in the field of budgetingvendor selection in the nature of registeringscreening and verifying the credentials of third-party vendors on behalf of othersproduct pricing in the nature of providing pricing information about the goods of others via the global computer networkpreparation and filing of financial statements with the Securities and Exchange Commission (SEC) and responding to SEC commentsbusiness coordination and preparation of board of trustees' materials for organizational meetingsoffice functions in the nature of filing of documents necessary to qualify funds for sale in various statescoordination of prospectus printingcopying of documents for othersmanagement services in the nature of business development servicesproviding start-up support for business of others in the nature of applying for fund's federal taxpayer identification numbera uniform security identification procedures number and ticker symbol; business management and consultation services for othersproviding fund business administration to mutual funds and mutual fund companies in the nature of day-to-day business management and supervision of fund operations and coordination of custodytransfer agentdistributionaccounting and pricing servicesproviding officers for the fund in the nature of professional staffing servicespreparation and maintenance of business reports regarding fund expense projectionsreport expense projections and variances to fund managementacting as a liaison with the fund's independent accountantscustodianoutside counsel and board of trusteesnegotiation and settlement of commercial transaction for third partiesfor mutual fund companiescoordinationscheduling and preparation of business reports in the nature of materials for board of trustees' meetingspreparation and supervision of all SEC filingspreparationfiling and mailing of reports to shareholdersoffice functions in the nature of maintenance of books and records of ownership of stocksshares and securities of mutual fundsassisting fund advisers in insurance compliance monitoring and examining for business purposesproviding mutual fund sales tracking and reporting; business management and consultation services for othersproviding fund transfer agent services to mutual funds and mutual fund companies in the nature of bookkeepingmaintaining necessary books and records required by the Investment Company Act of 1940maintaining complete shareholder records for each shareholder accountadministrative processing of purchase and redemption ordersestablishing and maintaining business procedures and controls over elective shareholder transactionsproviding business reports featuring comprehensive sales reportingcommission tracking and reporting andfinancial record-keeping for regulatory compliance purposesassisting fund in Anti-Money Laundering (AML) compliance and professional staffing servicesproviding an AML compliance officer and an identity theft prevention compliance officer; business management and consultation services for othersaccounting services to mutual funds and mutual fund companies in the nature of providing daily net asset value calculationsgeneral ledger maintenancefinancial and tax reportingmanagement reportingtax compliance and fund performance reporting; business management and consultation services for otherspricing services to mutual funds and mutual fund companies in the nature of business appraisalsobtaining market prices for each security comprising the fundcalculating the fund's net asset value and providing business appraisals via transmittal to the securities exchanges and entitiesaccounting servicescalculating a daily cash figure for investment purposes for the investment advisor; business management and consultation services for othersshareholder services to mutual funds and mutual fund companies in the nature of shareholder record keeping servicesproviding and maintaining the necessary personnel and equipment records to receive and answer shareholder and dealer inquiriesacknowledging and responding to all shareholder correspondence in the nature of custom writing services comprising public relations and marketing materials for the financial industrypreparation and mailing confirmations for each shareholder transaction and periodic statements and preparing and mailing of tax forms for the IRS and shareholders; business management and consultation services for othersproviding fund organization services to mutual funds and mutual fund companies in the nature of facilitating establishment of relationshipsproviding business advice and assistance to commercial entities regarding establishing business relationships with brokerage firms and other financial intermediariescreating awareness of the fund through marketing and advertising servicesbusiness services in the nature of developing best practices for mutual fund companiescheck processing service and invoicing servicesreviewing invoices for feespreparation of business reports to board of directors
Class 36
Shareholder services to mutual funds and mutual fund companiesbill payment in the nature of authorizing payment of approved expenses of the funddisbursement and reinvestment of dividends for third partiespayment processing for Individual Retirement Account (IRA) purchasestransferswithdrawals and rolloversreconciling fund assets financial transactions with the mutual fund custodianproviding shareholders with account financial information via the internet and interactive voice response systemserving as fund's underwriter in the nature of securities underwriting for mutual funds and qualifying as broker-dealer in the nature of business brokerage servicesmutual fund distribution of fees and transaction based commissionsmanagement of capital fund's distribution activities; investment management; financial servicesinvestment fund transfer and transaction services; transfer agency services rendered to issuers of investment securities; hedge fund investment services; brokerage of shares and other securities; mutual fund brokerage; mutual fund distribution; financial investment servicesadministering the issuanceunderwriting and distribution of securities; financial analysis for businesses
Class 45
Business organization consultingregulatory compliance consulting regarding the preparation of compliance business policies and procedures in the field of retirement plan administration
Publications
History of USPTO decisions and trademark events.
46 publications found
ASCK
ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY
08/04/2025
CHAN
APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED
08/17/2021
TCCA
TEAS CHANGE OF CORRESPONDENCE RECEIVED
08/17/2021
EWAF
TEAS WITHDRAWAL OF ATTORNEY RECEIVED-FIRM RETAINS
08/17/2021
ARAA
ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
08/17/2021
REAP
TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
08/17/2021
COAR
TEAS CHANGE OF OWNER ADDRESS RECEIVED
08/17/2021
R.PR
REGISTERED-PRINCIPAL REGISTER
05/25/2021
NPUB
OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED
03/09/2021
PUBO
PUBLISHED FOR OPPOSITION
03/09/2021
NONP
NOTIFICATION OF NOTICE OF PUBLICATION E-MAILED
02/17/2021
CNSA
APPROVED FOR PUB - PRINCIPAL REGISTER
02/04/2021
TEME
TEAS/EMAIL CORRESPONDENCE ENTERED
01/20/2021
CRFA
CORRESPONDENCE RECEIVED IN LAW OFFICE
01/20/2021
TCCA
TEAS CHANGE OF CORRESPONDENCE RECEIVED
01/15/2021
ARAA
ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
01/15/2021
REAP
TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
01/15/2021
TROA
TEAS RESPONSE TO OFFICE ACTION RECEIVED
01/15/2021
WOAG
WITHDRAWAL OF ATTORNEY GRANTED
01/14/2021
WOAR
TEAS WITHDRAWAL OF ATTORNEY RECEIVED
01/14/2021
GAUN
NOTIFICATION OF NOTICE OF UNRESPONSIVE AMENDMENT - E-MAILED
01/13/2021
GAUD
NOTICE OF UNRESPONSIVE AMENDMENT - E-MAILED
01/13/2021
NAUD
REPORT UNRESPONSIVE AMENDMENT - COMPLETED
01/13/2021
TEME
TEAS/EMAIL CORRESPONDENCE ENTERED
01/06/2021
CRFA
CORRESPONDENCE RECEIVED IN LAW OFFICE
01/06/2021
ALIE
ASSIGNED TO LIE
12/28/2020
ALIE
ASSIGNED TO LIE
12/18/2020
TROA
TEAS RESPONSE TO OFFICE ACTION RECEIVED
09/23/2020
GAUN
NOTIFICATION OF NOTICE OF UNRESPONSIVE AMENDMENT - E-MAILED
07/23/2020
GAUD
NOTICE OF UNRESPONSIVE AMENDMENT - E-MAILED
07/23/2020
NAUD
REPORT UNRESPONSIVE AMENDMENT - COMPLETED
07/23/2020
TEME
TEAS/EMAIL CORRESPONDENCE ENTERED
07/07/2020
CRFA
CORRESPONDENCE RECEIVED IN LAW OFFICE
07/06/2020
TROA
TEAS RESPONSE TO OFFICE ACTION RECEIVED
07/06/2020
TCCA
TEAS CHANGE OF CORRESPONDENCE RECEIVED
07/06/2020
EWAF
TEAS WITHDRAWAL OF ATTORNEY RECEIVED-FIRM RETAINS
07/06/2020
ARAA
ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED
07/06/2020
REAP
TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED
07/06/2020
GNRN
NOTIFICATION OF NON-FINAL ACTION E-MAILED
05/26/2020
GNRT
NON-FINAL ACTION E-MAILED
05/26/2020
CNRT
NON-FINAL ACTION WRITTEN
05/26/2020
DOCK
ASSIGNED TO EXAMINER
05/21/2020
MDSC
NOTICE OF DESIGN SEARCH CODE E-MAILED
03/11/2020
NWOS
NEW APPLICATION OFFICE SUPPLIED DATA ENTERED
03/10/2020
NWAP
NEW APPLICATION ENTERED
03/06/2020
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