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SM

Susan Mcclure

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR
Denver, CO 80203
Some features on this profile are disabled
CRD#: 1560867
SM

Professional summary

Susan Mcclure is a registered financial professional currently at ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. located in Denver, Colorado and ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1993. Susan has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Susan Mcclure'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

January 2, 2014 - Present

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203
BD
CRD#: 144464
Denver, CO
Current

August 2, 2016 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203
BD
CRD#: 16853
Denver, CO
Past

June 25, 2012 - December 31, 2013

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

August 4, 2011 - December 31, 2011

GENEOS WEALTH MANAGEMENT, INC.

BD
CRD#: 120894
CENTENNIAL, CO
Past

February 25, 2009 - September 11, 2009

COLORADO FINANCIAL SERVICE CORPORATION

BD
CRD#: 104343
CENTENNIAL, CO
Past

September 16, 2003 - February 20, 2007

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

January 23, 2001 - July 9, 2003

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 289
HOUSTON, TX
Past

June 28, 1999 - July 7, 2000

REUTERS C CORPORATION

BD
CRD#: 14408
NEW YORK, NY
Past

April 1, 1993 - June 18, 1999

LIPPER ANALYTICAL SECURITIES CORPORATION

BD
CRD#: 6837
SUMMIT, NJ

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
Alabama
(1/2/2014)
RR
Alaska
(8/9/2016)
RR
Arizona
(1/2/2014)
RR
Arkansas
(1/2/2014)
RR
California
(1/2/2014)
RR
Colorado
(1/2/2014)
RR
Connecticut
(1/2/2014)
RR
Delaware
(1/2/2014)
RR
District of Columbia
(1/2/2014)
RR
Florida
(1/2/2014)
RR
Georgia
(1/2/2014)
RR
Hawaii
(1/2/2014)
RR
Idaho
(1/2/2014)
RR
Illinois
(1/2/2014)
RR
Indiana
(8/9/2016)
RR
Iowa
(1/2/2014)
RR
Kansas
(1/2/2014)
RR
Kentucky
(1/2/2014)
RR
Louisiana
(1/2/2014)
RR
Maine
(1/2/2014)
RR
Maryland
(1/2/2014)
RR
Massachusetts
(8/9/2016)
RR
Michigan
(1/2/2014)
RR
Minnesota
(1/2/2014)
RR
Mississippi
(1/2/2014)
RR
Missouri
(1/2/2014)
RR
Montana
(1/2/2014)
RR
Nebraska
(8/3/2016)
RR
Nevada
(8/9/2016)
RR
New Hampshire
(1/2/2014)
RR
New Jersey
(1/2/2014)
RR
New Mexico
(1/2/2014)
RR
New York
(1/2/2014)
RR
North Carolina
(8/10/2016)
RR
North Dakota
(1/2/2014)
RR
Ohio
(1/2/2014)
RR
Oklahoma
(1/2/2014)
RR
Oregon
(8/9/2016)
RR
Pennsylvania
(8/9/2016)
RR
Rhode Island
(1/2/2014)
RR
South Carolina
(1/2/2014)
RR
South Dakota
(1/2/2014)
RR
Tennessee
(1/2/2014)
RR
Texas
(1/2/2014)
RR
Utah
(8/9/2016)
RR
Vermont
(1/2/2014)
RR
Virginia
(8/9/2016)
RR
Washington
(1/2/2014)
RR
West Virginia
(8/9/2016)
RR
Wisconsin
(1/2/2014)
RR
Wyoming
(1/2/2014)

Exams

State Security Law Exam
RR
Series 63
Date: 7/2/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/31/1993
General Securities Representative Examination
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#: 16853Denver, CO 80203

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