Vincent G. Pandes

ALPS DISTRIBUTORS

Walnut Creek, CA 94596

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CRD#: 2776566

Professional summary

Vincent Griarte Pandes JR, who also goes by VInce Pandes, Vincent Griarte Pandes, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Walnut Creek, California.

Vincent is registered as a RR (Registered Representative) and started their career in finance in 1996. Vincent has worked at 8 firms and has passed the Series 63, Series 65, Series 3, Series 7TO, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Vince Pandes | Vincent Griarte Pandes

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.

1. MONEY MANAGEMENT INSTITUTE, A NON FOR PROFIT ORGANIZATION, IS A NATIONAL ORGANIZATION FOR THE ADVISORY SOLUTIONS INDUSTRY. I AM ON THE BOARD OF GOVERNORS HELP TO PRIORITIZE INITIATIVES, PLAN CONFERENCES AND RECRUIT NEW MEMBER FIRMS. I SPEND 1 HOUR PER MONTH, 0 TRADING HOURS. I AM NOT COMPENSATED.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent Griarte Pandes JR'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

December 13, 2024 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1850 Mt. Diablo Blvd Suite 640, Walnut Creek, CA 94596

CRD#: 16853

Walnut Creek, CA

Past

April 17, 2019 - September 13, 2024

SILVERCREST ASSET MANAGEMENT GROUP LLC

RIA

CRD#: 118333

La Jolla, CA

Past

March 1, 2016 - January 25, 2019

NEOSHO CAPITAL LLC

RIA

CRD#: 130779

LA JOLLA, CA

Past

September 1, 2015 - December 31, 2015

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

August 26, 2010 - August 31, 2015

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

October 15, 1999 - December 31, 2015

BRANDES INVESTMENT PARTNERS, LP

RIA

CRD#: 105404

SAN DIEGO, CA

Past

July 29, 1998 - September 9, 1999

NICHOLAS-APPLEGATE SECURITIES LLC

CRD#: 31205

SAN DIEGO, CA

Past

April 7, 1998 - June 17, 1998

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

August 5, 1996 - June 22, 1998

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

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
(1/2/2025)

Alaska
(1/6/2025)

Arizona
(1/3/2025)

Arkansas
(1/6/2025)

California
(1/2/2025)

Colorado
(1/3/2025)

Connecticut
(1/2/2025)

Delaware
(1/9/2025)

District of Columbia
(1/6/2025)

Florida
(1/3/2025)

Georgia
(1/3/2025)

Hawaii
(1/3/2025)

Idaho
(1/6/2025)

Illinois
(1/3/2025)

Indiana
(1/6/2025)

Iowa
(1/3/2025)

Kansas
(1/2/2025)

Kentucky
(1/3/2025)

Louisiana
(1/2/2025)

Maine
(1/6/2025)

Maryland
(1/9/2025)

Massachusetts
(1/3/2025)

Michigan
(1/6/2025)

Minnesota
(1/3/2025)

Mississippi
(1/6/2025)

Missouri
(1/2/2025)

Montana
(1/2/2025)

Nebraska
(1/2/2025)

Nevada
(1/2/2025)

New Hampshire
(1/6/2025)

New Jersey
(1/2/2025)

New Mexico
(1/2/2025)

New York
(1/2/2025)

North Carolina
(1/2/2025)

North Dakota
(1/7/2025)

Ohio
(1/2/2025)

Oklahoma
(1/6/2025)

Oregon
(1/5/2025)

Pennsylvania
(1/3/2025)

Rhode Island
(1/6/2025)

South Carolina
(1/8/2025)

South Dakota
(1/2/2025)

Tennessee
(1/3/2025)

Texas
(1/3/2025)

Utah
(1/2/2025)

Vermont
(1/2/2025)

Virginia
(1/2/2025)

Washington
(1/2/2025)

West Virginia
(1/3/2025)

Wisconsin
(1/2/2025)

Wyoming
(1/6/2025)

Exams

State Security Law Exam

Series 63

Date: 12/30/2024

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 12/2/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 3

Date: 3/28/2025

National Commodity Futures Examination

General Industry/Product Exam

Series 7TO

Date: 12/12/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/25/2010

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 2/25/1999

General Securities Representative 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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Vincent G. Pandes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Vincent Griarte Pandes JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

SILVERCREST ASSET MANAGEMENT GROUP LLC

NEOSHO CAPITAL LLC

ALPS DISTRIBUTORS, INC.

QUASAR DISTRIBUTORS, LLC

BRANDES INVESTMENT PARTNERS, LP

NICHOLAS-APPLEGATE SECURITIES LLC

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

State Registrations and Notice Filings

Exams

Series 63

Date: 12/30/2024

Series 65

Date: 12/2/1998

Series 3

Date: 3/28/2025

Series 7TO

Date: 12/12/2024

SIE

Date: 12/31/2015

Series 6

Date: 8/25/2010

Series 7

Date: 2/25/1999

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

Contact information

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