Gregory K. Steinmetz
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gregory Kevin Steinmetz, who also goes by Gregory Steinmetz, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1996. Gregory had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2014 - December 1, 2025
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
June 25, 2008 - December 31, 2013
ALPS DISTRIBUTORS, INC.
August 3, 2006 - June 23, 2008
JANUS HENDERSON DISTRIBUTORS US LLC
May 19, 2004 - December 3, 2004
CHARLES SCHWAB & CO., INC.
January 14, 1998 - July 5, 2001
CHARLES SCHWAB & CO., INC.
November 18, 1996 - October 6, 1997
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
CRD#: 144464 / SEC#: , 8-67659
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPS HOLDINGS INC. | PARENT | |
| IRELAND, KEVIN J | SENIOR VP, DIRECTOR OF INSTITUTIONAL SALES | 1331960 |
| KYLLO, STEPHEN JOHN | SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER | 3204474 |
| PARSONS, ERIC T | FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER | 5215115 |
| WELLEN, ALECIA DAWN | VP, CHIEF COMPLIANCE OFFICER | 4846551 |
Red Flags
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