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JM

John R. Mendell

ALPS DISTRIBUTORS
Denver, CO 80203
Some features on this profile are disabled
CRD#: 2777777
JM

Professional summary

John Richard Mendell JR, who also goes by John Mendell, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

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

Question & Answer

Are you a "fiduciary"?
No

Aliases

John Mendell

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) - BD

Click below to view John Richard Mendell 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

February 27, 2026 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203
BD
CRD#: 16853
Denver, CO
Past

December 22, 2020 - November 29, 2022

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
MIAMI, FL
Past

August 14, 2014 - June 19, 2015

ARES MANAGEMENT CAPITAL MARKETS LLC

BD
CRD#: 166219
DENVER, CO
Past

November 29, 2010 - January 11, 2011

TCW FUNDS DISTRIBUTORS LLC

BD
CRD#: 16670
LOS ANGELES, CA
Past

October 14, 2005 - December 9, 2010

MWAM DISTRIBUTORS, LLC

BD
CRD#: 132031
LOS ANGELES, CA
Past

August 27, 1996 - November 24, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

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
Florida
(3/3/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 11/25/2025
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/27/2026
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 12/21/2012
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/13/2005
General Securities Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Event4

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#: 16853Denver, CO 80203

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