Richard G. Smith
Professional summary
Richard Gibson Smith, who also goes by Gibson Smith, R Gibson Smith, Richard Smith, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Denver, Colorado.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Gibson Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2018 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 1430 Blake Street, Denver, CO 80202March 16, 2001 - April 8, 2016
JANUS HENDERSON DISTRIBUTORS US LLC
July 1, 1993 - January 19, 2001
MORGAN STANLEY & CO. LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/18/2018)
(10/24/2025)
(3/30/2018)
(4/2/2018)
(3/30/2018)
(3/30/2018)
(3/30/2018)
(3/30/2018)
(4/2/2018)
(3/30/2018)
(4/2/2018)
Exams
FINRA
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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