NL
Nelson M. Louie
ALPS DISTRIBUTORS
Stamford, CT 06901
Some features on this profile are disabled
CRD#: 2578132
NL
Professional summary
Nelson Ming Louie, who also goes by Nelson Louie, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Stamford, Connecticut.
Nelson is registered as a RR (Registered Representative) and started their career in finance in 2008. Nelson has worked at 4 firms and has passed the Series 63, Series 3, Series 7TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nelson Louie
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.
CRS (Client Relationship Summary) - BD
Click below to view Nelson Ming Louie'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®
NoneExperience
Current
August 13, 2024 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 680 Washington Blvd. 11th Floor, Stamford, CT 06901BD
CRD#: 16853
Stamford, CT
Past
August 16, 2010 - December 15, 2020
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
May 7, 2009 - June 22, 2010
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
January 18, 2008 - May 8, 2009
AIG FINANCIAL SECURITIES CORP.
BD
CRD#: 21774
WILTON, CT
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
Alabama(9/30/2024)
RR
Alaska(9/30/2024)
RR
Arizona(10/9/2024)
RR
Arkansas(10/2/2024)
RR
California(9/30/2024)
RR
Colorado(9/30/2024)
RR
Connecticut(8/14/2024)
RR
Delaware(10/1/2024)
RR
District of Columbia(10/4/2024)
RR
Florida(9/30/2024)
RR
Georgia(10/1/2024)
RR
Hawaii(10/10/2024)
RR
Idaho(9/30/2024)
RR
Illinois(10/23/2024)
RR
Indiana(9/30/2024)
RR
Iowa(10/1/2024)
RR
Kansas(9/30/2024)
RR
Kentucky(10/1/2024)
RR
Louisiana(10/10/2024)
RR
Maine(9/30/2024)
RR
Maryland(10/2/2024)
RR
Massachusetts(10/2/2024)
RR
Michigan(10/2/2024)
RR
Minnesota(9/30/2024)
RR
Mississippi(9/30/2024)
RR
Missouri(9/30/2024)
RR
Montana(10/3/2024)
RR
Nebraska(9/30/2024)
RR
Nevada(9/30/2024)
RR
New Hampshire(10/1/2024)
RR
New Jersey(9/30/2024)
RR
New Mexico(10/1/2024)
RR
New York(9/30/2024)
RR
North Carolina(10/1/2024)
RR
North Dakota(10/7/2024)
RR
Ohio(9/30/2024)
RR
Oklahoma(9/30/2024)
RR
Oregon(10/7/2024)
RR
Pennsylvania(10/1/2024)
RR
Puerto Rico(10/10/2024)
RR
Rhode Island(10/1/2024)
RR
South Carolina(9/30/2024)
RR
South Dakota(9/30/2024)
RR
Tennessee(10/1/2024)
RR
Texas(10/1/2024)
RR
Utah(9/30/2024)
RR
Vermont(9/30/2024)
RR
Virgin Islands(10/1/2024)
RR
Virginia(9/30/2024)
RR
Washington(9/30/2024)
RR
West Virginia(10/3/2024)
RR
Wisconsin(10/1/2024)
RR
Wyoming(9/30/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/19/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
