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RD

Robert S. Dochterman

Some features on this profile are disabled
CRD#: 1766233
RD

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.

Robert Seth Dochterman, who also goes by Robert S Dochterman, was a registered financial professional .

Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6, Series 23, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert S Dochterman

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 21, 2016 - December 4, 2018

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
SAN DIEGO, CA
Past

March 16, 2006 - March 3, 2014

HOTCHKIS AND WILEY CAPITAL MANAGEMENT, LLC

RIA
CRD#: 114649
LOS ANGELES, CA
Past

April 18, 2005 - February 29, 2012

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
MILWAUKEE, WI
Past

March 18, 2002 - March 31, 2005

STEPHENS

RIA
CRD#: 3496
LOS ANGELES, CA
Past

December 14, 2001 - March 31, 2005

STEPHENS

BD
CRD#: 3496
LITTLE ROCK, AR
Past

December 10, 1999 - December 17, 2001

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

September 1, 1998 - November 19, 1999

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

September 6, 1996 - September 1, 1998

SALOMON BROTHERS INC.

BD
CRD#: 740
NEW YORK, NY
Past

December 8, 1987 - July 18, 1996

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL

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
RR
IAR
Series 66
Date: 8/30/2016
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 1/17/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/27/1989
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: 1/21/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/7/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 23
Date: 5/19/2005
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 10
Date: 5/13/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 5/6/2002
General Securities Sales Supervisor - Options Module Examination

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#: 16853

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