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Kevin J. O'friel

ALPS DISTRIBUTORS
New York, NY 10006
Some features on this profile are disabled
CRD#: 1338823
KO

Professional summary

Kevin John O'friel, who also goes by Kevin John Ofriel, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in New York, New York.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 1989. Kevin has worked at 7 firms and has passed the Series 65, Series 63, Series 22TO, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 4, Series 10, Series 9, Series 14, Series 24 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Kevin John Ofriel

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 Kevin John O'friel'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

April 7, 2022 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 115 Broadway 5th Floor, New York, NY, 10006
BD
CRD#: 16853
New York, NY
Past

February 7, 2008 - December 31, 2021

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

February 7, 2008 - December 31, 2021

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

December 7, 2006 - January 25, 2008

FIRST MONTAUK SECURITIES CORP.

RIA
CRD#: 13755
RED BANK, NJ
Past

December 7, 2006 - January 25, 2008

FIRST MONTAUK SECURITIES CORP.

BD
CRD#: 13755
RED BANK, NJ
Past

July 30, 2004 - November 21, 2006

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
NEW YORK, NY
Past

July 6, 2004 - November 21, 2006

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

January 3, 2003 - July 1, 2004

OPPENHEIMER & CO. INC.

BD
CRD#: 249
NEW YORK, NY
Past

May 1, 2000 - January 3, 2003

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

February 6, 1997 - May 2, 2000

STANFORD GROUP COMPANY

BD
CRD#: 39285
HOUSTON, TX
Past

March 21, 1989 - January 29, 1997

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
New Jersey
(4/7/2022)
RR
New York
(4/7/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/1/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/24/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 22TO
Date: 3/27/2024
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 3/27/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 4/23/1991
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/18/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 3/27/2024
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/27/2024
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 14
Date: 9/21/2005
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/20/1997
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 8
Date: 9/20/1990
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALPS HOLDINGS, INC.PARENT
KYLLO, STEPHEN JOHNSVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER3204474
NECKEL, TARA JILLVP, DEPUTY CHIEF COMPLIANCE OFFICER4051739
PARSONS, ERIC TFINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER5215115

Disclosures

Regulatory Event4

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.

Company Information

ALPS DISTRIBUTORS, INC.

CRD#: 16853New York, NY 10006

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