DY
Douglas M. Yones
ALPS DISTRIBUTORS
New York, NY 10022
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CRD#: 2925109
DY
Professional summary
Douglas Michael Yones is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in New York, New York.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 1997. Douglas has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 52, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
CRS (Client Relationship Summary) - BD
Click below to view Douglas Michael Yones'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®
NoneExperience
Current
December 13, 2024 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 535 Madison Avenue 37th Floor, New York, NY 10022BD
CRD#: 16853
New York, NY
Past
November 20, 2015 - November 13, 2024
ARCHIPELAGO SECURITIES L.L.C.
BD
CRD#: 102500
New York, NY
Past
July 6, 1998 - November 16, 2015
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
July 31, 1997 - March 24, 1998
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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
Alabama(4/14/2025)
RR
Alaska(4/14/2025)
RR
Arizona(4/14/2025)
RR
Arkansas(4/14/2025)
RR
California(4/14/2025)
RR
Colorado(4/14/2025)
RR
Connecticut(4/14/2025)
RR
Delaware(4/14/2025)
RR
District of Columbia(4/14/2025)
RR
Florida(4/14/2025)
RR
Georgia(4/14/2025)
RR
Hawaii(4/14/2025)
RR
Idaho(4/14/2025)
RR
Illinois(4/14/2025)
RR
Indiana(4/14/2025)
RR
Iowa(4/14/2025)
RR
Kansas(4/14/2025)
RR
Kentucky(4/14/2025)
RR
Louisiana(4/14/2025)
RR
Maine(4/14/2025)
RR
Maryland(4/14/2025)
RR
Massachusetts(4/14/2025)
RR
Michigan(4/14/2025)
RR
Minnesota(4/14/2025)
RR
Mississippi(4/14/2025)
RR
Missouri(4/14/2025)
RR
Montana(4/14/2025)
RR
Nebraska(4/14/2025)
RR
Nevada(4/14/2025)
RR
New Hampshire(4/14/2025)
RR
New Jersey(4/11/2025)
RR
New Mexico(4/14/2025)
RR
New York(4/11/2025)
RR
North Carolina(4/14/2025)
RR
North Dakota(4/14/2025)
RR
Ohio(4/14/2025)
RR
Oklahoma(4/14/2025)
RR
Oregon(4/14/2025)
RR
Pennsylvania(4/14/2025)
RR
Puerto Rico(4/14/2025)
RR
Rhode Island(4/14/2025)
RR
South Carolina(4/14/2025)
RR
South Dakota(4/14/2025)
RR
Tennessee(4/14/2025)
RR
Texas(4/14/2025)
RR
Utah(4/14/2025)
RR
Vermont(4/14/2025)
RR
Virginia(4/14/2025)
RR
Washington(4/14/2025)
RR
West Virginia(4/14/2025)
RR
Wisconsin(4/14/2025)
RR
Wyoming(4/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
