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1290 Broadway, Suite 1000, Denver, CO 80203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2021-09-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Arrive Logistics | Austin | TX | 06/2015 | 04/2017 |
| Kestra Financial, Inc. | Austin | TX | 03/2018 | 08/2020 |
| Favor | Austin | TX | 08/2017 | 03/2018 |
| Unemployed | Austin | TX | 04/2017 | 08/2017 |
| Registered Fund Services - Ss&C Alps | Denver | CO | 08/2020 | Present |
1. ALPS Distributors, Inc; Investment-Related; 1290 Broadway, Suite 1000, Denver, CO 80203; Broker-Dealer; Senior Regulatory Compliance Analyst; 160 Hrs/Mon; 130 Hrs/Mon During trading hours; Reviewing advertising material. 2. ALPS Portfolio Solutions Distributor, Inc: Investment-Related; 1290 Broadway, Suite 1000, Denver, CO 80203; Broker-Dealer; Senior Regulatory Compliance Analyst; 160 Hrs/Mon; 130 Hrs/Mon During trading hours; Reviewing advertising material. 3. ALPS Advisors, Inc; Investment-Related; 1290 Broadway, Suite 1000, Denver, CO 80203; Broker-Dealer; Senior Regulatory Compliance Analyst; 160 Hrs/Mon; 130 Hrs/Mon During trading hours. 4. Texas Association-Sports; Not Investment-Related; 1221 W Campbell Rd, Richardson, TX 75080; Football Referee; Referee; 06/22/2024; 15 Hrs/Mon; None during trading hours; Referee for youth sports including middle school and high school games.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2021-08-27 |
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