SF
Steven Fry
ALPS DISTRIBUTORS
Larkspur, CA 94939
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CRD#: 2579054
SF
Professional summary
Steven Fry, CIMA®, who also goes by Steven B Fry, Steven Benford Fry, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Larkspur, California.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1997. Steven has worked at 5 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steven B Fry | Steven Benford Fry
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 Steven Fry'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®
Experience
Current
October 16, 2023 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 60 E. Sir Francis Drake Blvd Suite 200, Larkspur, CA 94939BD
CRD#: 16853
Larkspur, CA
Past
December 3, 2014 - July 2, 2019
USAA INVESTMENT SERVICES COMPANY
BD
CRD#: 5475
Englewood, CO
Past
November 23, 2004 - November 24, 2014
JANUS HENDERSON DISTRIBUTORS US LLC
BD
CRD#: 28832
DENVER, CO
Past
February 4, 1998 - November 16, 2004
INVESCO CAPITAL MARKETS, INC.
BD
CRD#: 6939
HOUSTON, TX
Past
September 29, 1997 - January 27, 1998
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
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(10/27/2023)
RR
Alaska(10/27/2023)
RR
Arizona(10/31/2023)
RR
Arkansas(10/27/2023)
RR
California(10/27/2023)
RR
Colorado(10/16/2023)
RR
Connecticut(10/17/2023)
RR
Delaware(10/27/2023)
RR
District of Columbia(10/16/2023)
RR
Florida(10/16/2023)
RR
Georgia(10/27/2023)
RR
Hawaii(10/27/2023)
RR
Idaho(10/17/2023)
RR
Illinois(10/27/2023)
RR
Indiana(10/27/2023)
RR
Iowa(10/27/2023)
RR
Kansas(10/27/2023)
RR
Kentucky(10/27/2023)
RR
Louisiana(10/16/2023)
RR
Maine(10/27/2023)
RR
Maryland(10/16/2023)
RR
Massachusetts(10/27/2023)
RR
Michigan(10/27/2023)
RR
Minnesota(10/27/2023)
RR
Mississippi(10/27/2023)
RR
Missouri(10/27/2023)
RR
Montana(10/27/2023)
RR
Nebraska(10/27/2023)
RR
Nevada(10/27/2023)
RR
New Hampshire(10/27/2023)
RR
New Jersey(10/27/2023)
RR
New Mexico(10/27/2023)
RR
New York(10/27/2023)
RR
North Carolina(10/27/2023)
RR
North Dakota(10/27/2023)
RR
Ohio(10/29/2023)
RR
Oklahoma(10/27/2023)
RR
Oregon(10/27/2023)
RR
Pennsylvania(10/27/2023)
RR
Puerto Rico(10/16/2023)
RR
Rhode Island(10/27/2023)
RR
South Carolina(10/27/2023)
RR
South Dakota(10/27/2023)
RR
Tennessee(10/27/2023)
RR
Texas(10/27/2023)
RR
Utah(10/27/2023)
RR
Vermont(10/27/2023)
RR
Virgin Islands(10/27/2023)
RR
Virginia(10/27/2023)
RR
Washington(10/27/2023)
RR
West Virginia(10/27/2023)
RR
Wisconsin(10/27/2023)
RR
Wyoming(10/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/16/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General 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.
Company Information
ALPS DISTRIBUTORS, INC.
CRD#: 16853Larkspur, CA 94939TRUST BUT VERIFY
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