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1290 Broadway, Suite 1000, Denver, CO 80203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-01-25 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alps Fund Services Inc. | Denver | CO | 01/2020 | Present |
| Oppenheimerfunds | Centennial | CO | 03/2013 | 08/2019 |
| Unemployed | Denver | CO | 09/2019 | 12/2019 |
| Alps Advisors, Inc. | Denver | CO | 01/2023 | Present |
1. NAPERVILLE PROPERTY MANAGEMENT LLC, NOT INVESTMENT RELATED, ADDRESS ON FILE, PASSIVE RENTAL PROPERTIES, CO-OWNER, 3 HRS/MON, 0 HRS/MON DURING TRADING. 2. SUNSET OAK LLC, NOT INVESTMENT RELATED, ADDRESS ON FILE, HAIR SALONS, CO-OWNER, 3 HRS/MON, 0 HRS DURING TRADING. 3. ALPS ADVISORS INC, INVESTMENT RELATED, RIA, CHIEF INVESTMENT OFFICER, 01/2023, 100 HRS/MON, 100 HRS/MON DURING TRADING HOURS, OVERSEE THE MULTI ASSET RESEARCH INVESTMENT PROCESS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-01-09 |
| S63 | Uniform Securities Agent State Law Examination | 2020-05-22 |
| S66 | Uniform Combined State Law Examination | 2012-12-03 |
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