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Eric Robert Nastri

ALPS DISTRIBUTORS
BERNARDSVILLE, NJ
·CRD# 2555464·31 years experience

Professional Summary

Eric Robert Nastri is a registered financial advisor currently at ALPS DISTRIBUTORS, INC. located in Bernardsville, New Jersey. Eric is registered as a RR (Registered Representative) and started their career in finance in 1995. Eric has worked at 5 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

31 years in the financial services industry

Current & Past Employments

ALPS DISTRIBUTORS, INC.·CRD# 16853
BD
2 Morristown Road, Bernardsville, NJ 07924
May 23, 2020 - Present
UBS ASSET MANAGEMENT (US) INC.·CRD# 583
BD
New York, NY
May 19, 2015 - June 22, 2018
UBS FINANCIAL SERVICES INC.·CRD# 8174
RIA
Weehawken, NJ
March 1, 2011 - May 19, 2015
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
December 1, 2010 - May 19, 2015
UBS ASSET MANAGEMENT (US) INC.·CRD# 583
BD
New York, NY
September 14, 2001 - August 11, 2004
MORGAN STANLEY DW INC.·CRD# 7556
BD
Purchase, NY
February 26, 2001 - December 14, 2001
ABN AMRO SECURITIES LLC·CRD# 6540
BD
New York, NY
January 20, 1995 - April 9, 1996

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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)

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

FINRA licenses (53 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

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 Event

4

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
New Jersey
(5/23/2020)
RR
New York
(1/2/2026)

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2011About the Series 66 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Jun 1995About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1995About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jun 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Nov 2010About the Series 7 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Eric Robert Nastri's CRS (Customer Relationship Summary).

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