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JT

Joseph A. Tramazzo

ALPS DISTRIBUTORS
Bernardsville, NJ 07924
Some features on this profile are disabled
CRD#: 2854030
JT

Professional summary

Joseph Angelo Tramazzo, who also goes by Joe Tramazzo, Joseph A Tramazzo, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Bernardsville, New Jersey.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 1997. Joseph has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joe Tramazzo | Joseph A Tramazzo

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 Joseph Angelo Tramazzo'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

May 28, 2020 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 2 Morristown Road, Bernardsville, NJ 07924
BD
CRD#: 16853
Bernardsville, NJ
Past

January 30, 2018 - July 3, 2018

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

January 3, 2011 - June 20, 2016

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

April 17, 2007 - January 3, 2011

JPMORGAN DISTRIBUTION SERVICES, INC.

BD
CRD#: 104234
COLUMBUS, OH
Past

May 20, 2005 - February 22, 2007

AMG DISTRIBUTORS, INC.

RIA
CRD#: 27314
CHICAGO, IL
Past

June 22, 2004 - May 4, 2005

BURRIDGE GROUP LLC

RIA
CRD#: 106416
CHICAGO, IL
Past

October 13, 2003 - February 22, 2007

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT
Past

September 19, 2002 - September 15, 2003

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

January 13, 2000 - June 26, 2002

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
NASHVILLE, TN
Past

August 4, 1997 - November 21, 1998

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
JERSEY CITY, 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
Florida
(5/28/2020)
RR
Georgia
(5/28/2020)
RR
Puerto Rico
(1/19/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/28/2004
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/21/2004
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/3/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/2011
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/31/1997
Investment Company Products/Variable Contracts 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#: 16853Bernardsville, NJ 07924

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