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1290 Broadway, Suite 1000, Denver, CO 80203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2025-08-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alps Advisors, Inc. | Denver | CO | 08/2022 | 03/2025 |
| Alps Fund Services, Inc. | Denver | CO | 05/2020 | 08/2022 |
| Bnp Paribas Securities Corp | Glendale | CO | 04/2018 | 10/2019 |
| Travelling | Denver | CO | 10/2019 | 05/2020 |
| Janus Henderson Investors | Denver | CO | 09/2015 | 03/2018 |
| Alps Advisors, Inc. | Denver | CO | 04/2025 | Present |
ALPS Advisors, Inc.; Investment Related; 1290 Broadway, Suite 1000, Denver, CO 80203; Registered Investment Advisor; Senior Compliance Manager; 04/23/2025; 160 HRS/MON; 130 HRS/MON; Oversight of Advisor Compliance.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2025-04-23 |
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