Gregory J. Stitt

ALPS DISTRIBUTORS

New York, NY 10005

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CRD#: 1594892

Professional summary

Gregory John Stitt is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in New York, New York.

Gregory is registered as a RR (Registered Representative) and started their career in finance in 1987. Gregory has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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

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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

July 21, 2017 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 48 Wall Street Suite 1100, New York, NY 10005

CRD#: 16853

New York, NY

Past

August 14, 2013 - May 31, 2017

PERTH ADVISORS LLC

CRD#: 152080

PORTSMOUTH, NH

Past

November 5, 1993 - November 8, 2004

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

CRD#: 7834

NEW YORK, NY

Past

September 11, 1991 - October 22, 1993

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

September 13, 1988 - January 2, 1991

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

April 24, 1987 - October 21, 1987

THE STUART-JAMES COMPANY, INCORPORATED

CRD#: 11691

DENVER, CO

Past

February 17, 1987 - April 6, 1987

FORESTERS FINANCIAL SERVICES, INC.

CRD#: 305

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

Delaware
(7/25/2017)

New York
(7/24/2017)

Exams

State Security Law Exam

Series 63

Date: 10/28/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/16/1987

Investment Company Products/Variable Contracts 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

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Firm Stability Insights

Gregory J. Stitt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gregory John Stitt's CRS (Customer Relationship Summary).

Certified licenses

Experience

PERTH ADVISORS LLC

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

THE STUART-JAMES COMPANY, INCORPORATED

FORESTERS FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/28/2013

SIE

Date: 10/1/2018

Series 7

Date: 8/14/2013

Series 6

Date: 2/16/1987

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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