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1290 Broadway, Suite 1000, Denver, CO 80203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-07-05 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimerfunds Distributor, Inc. | Centennial | CO | 03/2015 | 08/2019 |
| Invesco Distributors, Inc. | Houston | TX | 05/2019 | 08/2019 |
| Alps Fund Services, Inc | Denver | CO | 01/2020 | Present |
| Unemployed | Denver | CO | 08/2019 | 01/2020 |
1. NAPERVILLE PROPERTY MANAGEMENT LLC, NOT INVESTMENT RELATED, ADDRESS ON FILE, PASSIVE RENTAL PROPERTIES, MEMBER, 0 HRS/MON, 0 HRS/MON DURING TRADING. 2. SUNSET OAK LLC, NOT INVESTMENT RELATED, ADDRESS ON FILE, HAIR SALONS, MEMBER, 0 HRS/MON, 0 HRS DURING TRADING. 3. ALPS ADVISORS INC, INVESTMENT RELATED, 1290 BROADWAY, SUITE 1000, DENVER, CO 80203, RIA, DIRECTOR OF RESEARCH, 07/05/2023, 160 HRS/MON, 130 HRS/MON DURING TRADING, SUBADVISORY OVERSIGHT SALES AND MARKETING SUPPORT
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-07-03 |
| S66 | Uniform Combined State Law Examination | 2002-05-16 |
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