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AE

Anthony E. Eichler

ALPS DISTRIBUTORS
Manhattan Beach, CA 90266
Some features on this profile are disabled
CRD#: 1969047
AE

Professional summary

Anthony Edward Eichler, who also goes by Anthony Edward Eichler, Anthony Eichler, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Manhattan Beach, California.

Anthony is registered as a RR (Registered Representative) and started their career in finance in 1989. Anthony has worked at 14 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anthony Edward Eichler | Anthony Eichler

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 Anthony Edward Eichler'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

May 16, 2025 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 3300 Highland Avenue, Manhattan Beach, CA 90266
BD
CRD#: 16853
Manhattan Beach, CA
Past

January 3, 2025 - May 12, 2025

PATRICK CAPITAL MARKETS, LLC

BD
CRD#: 16518
Irvine, CA
Past

August 9, 2022 - July 24, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

December 13, 2021 - June 1, 2022

FNEX CAPITAL, LLC

BD
CRD#: 166316
INDIANAPOLIS, IN
Past

March 27, 2019 - October 15, 2021

STONEBRIDGE CAPITAL MANAGEMENT INC

RIA
CRD#: 106073
LOS ANGELES, CA
Past

August 22, 2018 - October 16, 2018

KINGSWOOD CAPITAL PARTNERS, LLC

BD
CRD#: 288898
SAN DIEGO, CA
Past

February 17, 2017 - October 11, 2018

EXETER FINANCIAL, LLC

RIA
CRD#: 143420
Ladera Ranch, CA
Past

September 1, 2011 - October 19, 2016

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
CHICAGO, IL
Past

February 9, 2009 - September 1, 2011

NUVEEN FUND ADVISORS, LLC

RIA
CRD#: 104626
CHICAGO, IL
Past

May 29, 2001 - January 26, 2009

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA
CRD#: 106562
IRVINE, CA
Past

June 13, 2000 - October 19, 2016

NUVEEN SECURITIES, LLC

BD
CRD#: 469
IRVINE, CA
Past

May 1, 1995 - November 5, 1999

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
NEW YORK, NY
Past

May 29, 1991 - April 27, 1995

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

September 26, 1989 - June 7, 1991

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, 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
California
(5/16/2025)
RR
Hawaii
(5/20/2025)
RR
Idaho
(5/20/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 11/9/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 10/17/2000
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/13/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/15/1989
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#: 16853Manhattan Beach, CA 90266

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