Brian J. Hickey

ALPS DISTRIBUTORS

Denver, CO 80203

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CRD#: 2909643

Professional summary

Brian James Hickey is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

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

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

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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

August 5, 2025 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203

CRD#: 16853

Denver, CO

Past

April 14, 2022 - May 3, 2023

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

CRD#: 313390

New York, NY

Past

August 1, 2017 - May 3, 2023

BROOKFIELD PRIVATE ADVISORS LLC

CRD#: 151423

NEW YORK, NY

Past

May 27, 2011 - November 1, 2013

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

NEW YORK, NY

Past

April 10, 2007 - October 29, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

August 15, 1997 - August 11, 1998

PRINCETON CAPITAL MARKETS, L.P.

CRD#: 41773

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
(10/17/2025)

California
(10/17/2025)

Connecticut
(8/6/2025)

District of Columbia
(8/7/2025)

Florida
(8/6/2025)

Georgia
(10/20/2025)

Hawaii
(8/8/2025)

Illinois
(8/7/2025)

Indiana
(10/27/2025)

Maryland
(8/7/2025)

Massachusetts
(10/20/2025)

Michigan
(8/7/2025)

New Jersey
(8/7/2025)

New York
(10/19/2025)

North Carolina
(10/21/2025)

Ohio
(10/17/2025)

Oklahoma
(8/7/2025)

Pennsylvania
(10/20/2025)

Tennessee
(10/20/2025)

Texas
(8/6/2025)

Virginia
(10/21/2025)

Washington
(8/11/2025)

Wyoming
(8/7/2025)

Exams

State Security Law Exam

Series 63

Date: 10/17/2025

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/9/2007

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Brian J. Hickey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brian James Hickey's CRS (Customer Relationship Summary).

Certified licenses

Experience

BROOKFIELD OAKTREE WEALTH SOLUTIONS LLC

BROOKFIELD PRIVATE ADVISORS LLC

DEUTSCHE BANK SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

PRINCETON CAPITAL MARKETS, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/17/2025

SIE

Date: 10/1/2018

Series 7

Date: 4/9/2007

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

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