Michael D. Nardone

ALPS DISTRIBUTORS

Chicago, IL 60661

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CRD#: 1068080

Professional summary

Michael Daniel Nardone, who also goes by Michael D Nardone, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Chicago, Illinois.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 25 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael D Nardone

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Daniel Nardone's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 3, 2025 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661

CRD#: 16853

Chicago, IL

Past

September 19, 2018 - January 31, 2025

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

CRD#: 36155

CHICAGO, IL

Past

September 7, 2016 - September 20, 2018

NORTHERN LIGHTS DISTRIBUTORS, LLC

CRD#: 126159

ELKHORN, NE

Past

April 18, 2016 - July 13, 2016

LPL FINANCIAL LLC

CRD#: 6413

MIDDLE VILLAGE, NY

Past

February 25, 2016 - April 15, 2016

INVEST FINANCIAL CORPORATION

CRD#: 12984

MINEOLA, NY

Past

November 9, 2012 - January 26, 2016

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

August 1, 2011 - October 18, 2012

G.DISTRIBUTORS, LLC

CRD#: 155071

RYE, NY

Past

March 3, 2010 - August 26, 2011

G.RESEARCH, LLC

CRD#: 7353

RYE, NY

Past

April 11, 2007 - February 17, 2010

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

January 13, 2006 - January 18, 2007

CLEARBRIDGE INVESTMENTS, LLC

RIA

CRD#: 137028

NEW YORK, NY

Past

January 6, 2006 - January 18, 2007

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

NEW YORK, NY

Past

April 28, 2004 - August 5, 2005

AMUNDI ASSET MANAGEMENT US, INC.

RIA

CRD#: 107719

BOSTON, MA

Past

April 20, 2004 - August 5, 2005

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

Past

February 23, 2001 - April 8, 2004

EATON VANCE DISTRIBUTORS, INC.

CRD#: 37731

BOSTON, MA

Past

December 8, 1999 - March 9, 2001

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

March 31, 1993 - August 6, 1998

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, CA

Past

April 22, 1992 - October 20, 1992

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

Past

August 23, 1990 - January 24, 1992

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

CRD#: 487

CHARLOTTE, NC

Past

January 2, 1990 - October 15, 1990

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

CRD#: 2873

NEW YORK, NY

Past

January 2, 1990 - December 10, 1990

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

June 22, 1989 - December 5, 1989

NORTHSTAR FINANCIAL CORP

CRD#: 22901

Past

July 12, 1988 - December 20, 1988

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

March 17, 1988 - July 27, 1988

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

June 11, 1987 - March 24, 1988

BROADPOINT DESCAP

CRD#: 14997

Past

February 25, 1983 - June 23, 1987

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(2/4/2025)

Maine
(2/18/2025)

Maryland
(2/27/2025)

New Hampshire
(2/18/2025)

New York
(2/17/2025)

Rhode Island
(2/11/2025)

Vermont
(2/18/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/5/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/25/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 5/1/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 5

Date: 5/25/1983

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

1290 Broadway Suite 1000, Denver, CO 80203

Mailing Address

1290 Broadway Suite 1000, Denver, CO 80203

Phone number

(303) 623-2577

Established

Colorado since 07/01/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ALPS HOLDINGS, INC.	PARENT
KYLLO, STEPHEN JOHN	SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER	3204474
NECKEL, TARA JILL	VP, DEPUTY CHIEF COMPLIANCE OFFICER	4051739
PARSONS, ERIC T	FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER	5215115

Disclosures

Regulatory Event

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael D. Nardone

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Daniel Nardone's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERFORMANCE TRUST CAPITAL PARTNERS, LLC

NORTHERN LIGHTS DISTRIBUTORS, LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

DWS DISTRIBUTORS, INC.

G.DISTRIBUTORS, LLC

G.RESEARCH, LLC

QUASAR DISTRIBUTORS, LLC

CLEARBRIDGE INVESTMENTS, LLC

FRANKLIN DISTRIBUTORS, LLC

AMUNDI ASSET MANAGEMENT US, INC.

AMUNDI DISTRIBUTOR US, INC.

EATON VANCE DISTRIBUTORS, INC.

UBS FINANCIAL SERVICES INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

IVY DISTRIBUTORS, INC.

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK

MONY SECURITIES CORPORATION

NORTHSTAR FINANCIAL CORP

GRUNTAL & CO., L.L.C.

INTEGRATED RESOURCES EQUITY CORPORATION

BROADPOINT DESCAP

THOMSON MCKINNON SECURITIES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/2001

Series 63

Date: 2/25/1983

SIE

Date: 10/1/2018

Series 15

Date: 5/1/1984

Series 5

Date: 5/25/1983

Series 7

Date: 2/19/1983

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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