Yuri Khalif

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CRD#: 2271257

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.

Yuri Khalif was a registered financial professional .

Yuri is a previously registered financial professional and started their career in finance in 1992. Yuri had worked at 11 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)

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

July 27, 2021 - July 19, 2024

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

December 1, 2014 - December 18, 2019

TCW FUNDS DISTRIBUTORS LLC

CRD#: 16670

NEW YORK, NY

Past

October 2, 2012 - November 18, 2014

HATTERAS CAPITAL DISTRIBUTORS, LLC

CRD#: 143365

RALEIGH, NC

Past

January 3, 2011 - July 25, 2012

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

CRD#: 102920

NEW YORK, NY

Past

March 13, 2009 - November 10, 2009

J.P. MORGAN INVESTMENT MANAGEMENT INC.

RIA

CRD#: 107038

NEW YORK, NY

Past

March 30, 2005 - January 3, 2011

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

NEW YORK, NY

Past

July 30, 2002 - March 2, 2005

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

July 30, 2001 - July 30, 2002

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

November 17, 2000 - July 25, 2001

FORUM FINANCIAL SERVICES, LLC

CRD#: 38816

PORTLAND, ME

Past

June 2, 1994 - February 1, 2000

MORGAN STANLEY DISTRIBUTION, INC.

CRD#: 30344

NEW YORK, NY

Past

November 16, 1992 - February 17, 1994

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

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

Series 63

Date: 5/17/1995

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: 4/26/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/9/1992

Investment Company Products/Variable Contracts Representative Examination

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

Yuri Khalif

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TCW FUNDS DISTRIBUTORS LLC

HATTERAS CAPITAL DISTRIBUTORS, LLC

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

J.P. MORGAN INVESTMENT MANAGEMENT INC.

JPMORGAN DISTRIBUTION SERVICES, INC.

DWS DISTRIBUTORS, INC.

DEUTSCHE BANK SECURITIES INC.

FORUM FINANCIAL SERVICES, LLC

MORGAN STANLEY DISTRIBUTION, INC.

SEI INVESTMENTS DISTRIBUTION CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/17/1995

SIE

Date: 10/1/2018

Series 7

Date: 4/26/2002

Series 6

Date: 9/9/1992

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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