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JT

Joseph A. Tramazzo

Some features on this profile are disabled
CRD#: 2854030
JT

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.

Joseph Angelo Tramazzo, who also goes by Joe Tramazzo, Joseph A Tramazzo, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1997. Joseph had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

May 28, 2020 - May 15, 2026

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
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.

Visual representation of state registrations

This advisor is not registered in any state.

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

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

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#: 16853

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