Martin B. Perlmutter

ALPS DISTRIBUTORS

Denver, CO 80203

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CRD#: 2226841

Professional summary

Martin Bradley Perlmutter, who also goes by Marty Perlmutter, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

Martin is registered as a RR (Registered Representative) and started their career in finance in 1992. Martin has worked at 11 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Marty Perlmutter

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 Martin Bradley Perlmutter'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 3, 2019 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203

CRD#: 16853

Denver, CO

Past

March 9, 2018 - December 31, 2018

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

CRD#: 144464

DENVER, CO

Past

January 23, 2017 - November 10, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

DENVER, CO

Past

December 23, 2015 - November 10, 2017

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

December 23, 2015 - November 10, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

DENVER, CO

Past

December 23, 2015 - November 10, 2017

INVESTMENT CENTERS OF AMERICA, INC.

CRD#: 16443

APPLETON, WI

Past

December 23, 2015 - November 10, 2017

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

September 2, 2009 - November 30, 2015

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

January 2, 2008 - July 27, 2009

OLD MUTUAL CAPITAL

RIA

CRD#: 131405

DENVER, CO

Past

November 26, 2007 - July 27, 2009

OLD MUTUAL INVESTMENT PARTNERS

CRD#: 44916

DENVER, CO

Past

December 13, 1993 - December 31, 1994

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

December 23, 1992 - June 13, 2006

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

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

Alabama
(1/3/2019)

Alaska
(1/7/2019)

Arizona
(1/7/2019)

Arkansas
(1/8/2019)

California
(1/3/2019)

Colorado
(1/3/2019)

Connecticut
(1/4/2019)

Delaware
(2/1/2019)

District of Columbia
(1/7/2019)

Florida
(1/8/2019)

Georgia
(1/24/2019)

Hawaii
(1/9/2019)

Idaho
(1/9/2019)

Illinois
(2/5/2019)

Indiana
(1/11/2019)

Iowa
(1/4/2019)

Kansas
(1/7/2019)

Kentucky
(1/7/2019)

Louisiana
(1/7/2019)

Maine
(1/3/2019)

Maryland
(1/7/2019)

Massachusetts
(1/4/2019)

Michigan
(1/8/2019)

Minnesota
(1/8/2019)

Mississippi
(1/4/2019)

Missouri
(1/4/2019)

Montana
(1/8/2019)

Nebraska
(1/3/2019)

Nevada
(1/9/2019)

New Hampshire
(1/8/2019)

New Jersey
(1/8/2019)

New Mexico
(1/11/2019)

New York
(1/18/2019)

North Carolina
(1/5/2019)

North Dakota
(1/8/2019)

Ohio
(1/3/2019)

Oklahoma
(1/14/2019)

Oregon
(1/7/2019)

Pennsylvania
(1/4/2019)

Rhode Island
(1/3/2019)

South Carolina
(1/7/2019)

South Dakota
(1/14/2019)

Tennessee
(1/9/2019)

Texas
(1/11/2019)

Utah
(1/7/2019)

Vermont
(1/8/2019)

Virginia
(1/8/2019)

Washington
(1/4/2019)

West Virginia
(1/11/2019)

Wisconsin
(1/4/2019)

Wyoming
(1/9/2019)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/2/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 12/27/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/21/1992

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: 10/15/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/22/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/22/2008

General Securities Principal 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

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.

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Advisor Monitoring

Firm Stability Insights

Martin B. Perlmutter

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Martin Bradley Perlmutter's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

NATIONAL PLANNING CORPORATION

SII INVESTMENTS, INC.

NATIONAL PLANNING CORPORATION

INVESTMENT CENTERS OF AMERICA, INC.

INVEST FINANCIAL CORPORATION

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

OLD MUTUAL CAPITAL

OLD MUTUAL INVESTMENT PARTNERS

TRANSAMERICA FINANCIAL ADVISORS, LLC

JANUS HENDERSON DISTRIBUTORS US LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/2/2016

Series 66

Date: 12/27/2007

Series 63

Date: 8/21/1992

SIE

Date: 10/1/2018

Series 7

Date: 10/15/1997

Series 6

Date: 7/22/1992

Series 24

Date: 5/22/2008

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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