Passive Mutual Fund Distribution

Unified Financial Securities, Inc. provides statutory distribution services to its clients. Standard services include the following:

General underwriter for shares.

Sales literature and advertising review and NASD filing.
  Reviews advertising and sales literature.
  Fund website oversight and review.

NSCC/FundServ membership function.
  Files necessary documentation for funds to become NSCC/Fundserv eligible.
  Processes daily transaction cycles in coordination with Unified Fund Services.
  Updates NSCC with changes to fund structure or cusip.

Dealer Agreement setup and monitoring.
  Institutes relationships with mutual funds supermarkets
  Assesses distribution opportunities with other dealers
  Provide document and setup for other service providers 401(k) & TPA relationships)

12B-1 and Commission Services
  Process and track commission and compensation fees
  Tracking and reporting capabilities

Website review and NASD filing

Compliance obligations of distributor
  Prepares necessary reports for the fund board regarding distribution services
  Compliance oversight of sales reporting from selling group members

Serves as an IRS qualified non-bank custodian for Individual Retirement Accounts


Unified Financial Securities, Member NASD
431 N. Pennsylvania Street  |  Indianapolis, IN  46204  |  800.862.7862  |  CustomerService@UFSecurities.com