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1290 Broadway, Suite 1000, Denver, CO 80203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2007-08-09 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alps Fund Services, Inc. | Denver | CO | 08/2005 | 04/2017 |
| Alps Fund Services, Inc. | Denver | CO | 04/2017 | 04/2023 |
| Alps Fund Services, Inc | Denver | CO | 04/2023 | 04/2026 |
| Registered Fund Services - Ss&C Alps | Denver | CO | 04/2026 | Present |
1. ALPS Distributors, Inc.; Investment-Related; 1290 Broadway, Suite 1000, Denver, CO 80203; Broker-Dealer; Director, Deputy Chief Compliance Officer; 08/05/2005 160 Hrs/Mon; 130 Hrs/Mon During Trading hours. 2. ALPS Advisors, Inc.; Investment-Related; 1290 Broadway, Suite 1000, Denver, CO 80203; RIA; Director, Deputy Chief Compliance Officer; 08/15/2005 40 Hrs/Mon; 40 Hrs/Mon During Trading hours; Compliance Oversight. 3. ALPS Portfolio Solutions Distributor, Inc.; Investment-Related; 1290 Broadway, Suite 1000, Denver, CO 80203; Broker-Dealer; Director, Deputy Chief Compliance Officer; 05/14/2007 160 Hrs/Mon; 130 Hrs/Mon During Trading hours. 4. Old Colorado Brewing Company, LLC; Not Investment-Related; Address on file; Craft Brewery; Co-Owner (50% Owner); 08/25/2014; 20 Hrs/Mon; 0 Hrs/Mon During Trading hours; Manage LLC.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-12-22 |
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