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1290 Broadway, Suite 1000, Denver, CO 80203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2023-08-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Alps Fund Services, Inc | Denver | CO | 07/2015 | 12/2018 |
| Alps Fund Services, Inc | Denver | CO | 12/2018 | Present |
1. SECURE64 SOFTWARE CORP. 2900 S COLLEGE AVE #2A FORT COLLINS CO 80525, BUSINESS IS NOT INVESTMENT RELATED, DIRECTOR, 1 HRS/MON, NONE DURING TRADING HRS. 2. GLENMARY PARTNERS, INVESTMENT RELATED, 2750 S HIGH STREET DENVER CO 80210, REAL ESTATE INVESTMENTS, PARTNER, 16 HRS/MON, NONE DURING TRADING HRS. 3. ALPS ADVISORS INC, INVESTMENT-RELATED, RIA, DIRECTOR OF RESEARCH, 07/2023, 160 HRS/MON, 130 HRS/MON DURING TRADING HOURS, PROVIDE INVESTMENT RESEARCH, EDUCATE SALES TEAM, PROVIDE SALES MATERIALS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-07-25 |
| S63 | Uniform Securities Agent State Law Examination | 2014-07-03 |
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