Michael C. Vessels

Some features on this profile are disabled

CRD#: 1400094

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Charles Vessels, who also goes by Mike Vessels, Michael Vessels, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1985. Michael had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 22 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mike Vessels | Michael Vessels

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 3, 2023 - April 5, 2023

ALPS DISTRIBUTORS, INC.

CRD#: 16853

Port Chester, NY

Past

June 26, 2019 - December 31, 2022

IMST DISTRIBUTORS, LLC

CRD#: 130745

Port Chester, NY

Past

February 24, 2013 - July 7, 2017

FS INVESTMENT SOLUTIONS, LLC

CRD#: 145244

PHILADELPHIA, PA

Past

September 15, 1993 - December 31, 2002

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

October 24, 1989 - July 26, 1993

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Past

November 7, 1988 - December 20, 1989

IFMG SECURITIES, INC.

CRD#: 14416

PURCHASE, NY

Past

March 24, 1987 - October 29, 1988

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

CRD#: 17580

Past

December 18, 1985 - February 3, 1987

JMB SECURITIES CORPORATION

CRD#: 5862

Past

October 2, 1985 - November 26, 1985

INTERNATIONAL HERITAGE SECURITIES, INC.

CRD#: 8016

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 9/12/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/7/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/22/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/30/1987

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 10/1/1985

Direct Participation Programs Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/18/2013

General Securities Principal Examination

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Michael C. Vessels

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IMST DISTRIBUTORS, LLC

FS INVESTMENT SOLUTIONS, LLC

INVESCO DISTRIBUTORS, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

IFMG SECURITIES, INC.

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

JMB SECURITIES CORPORATION

INTERNATIONAL HERITAGE SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/12/2013

SIE

Date: 7/7/2017

Series 7

Date: 2/22/2013

Series 6

Date: 1/30/1987

Series 22

Date: 10/1/1985

Series 24

Date: 11/18/2013

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

Similar Advisors