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1555 Blake Street, Suite 250, Denver, CO 80202-1866 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2022-03-03 |
Branch Locations
1555 Blake Street, Suite 250, Denver, CO 80202-1866 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alps Mutual Funds Services Inc. | Denver | CO | 11/1999 | 06/2018 |
| Smith Capital Investors | Denver | CO | 08/2021 | Present |
| 361 Capital Llc | Denver | CO | 06/2018 | 05/2021 |
| Alps Distributors, Inc. | Denver | CO | 09/2021 | Present |
1. Smith Capital Investors; Investment-Related; 1555 Blake St Suite 250, Denver, CO 80202; RIA; Operations and Compliance; 08/23/2021, 160 Hrs/Mon; 130 Hrs/Mon During Trading Hours. 2. W&M-90 Hideaway Drive; Not Investment Related; Address on file; Rental Property; Owner; 11/04/2022; 1 Hr/Mon; None during trading hours, Manage Income Property.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2022-03-01 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-11 |
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