David A. Nelson
Professional summary
David Allan Nelson is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Denver, Colorado and ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. located in Denver, Colorado.
David is registered as a RR (Registered Representative) and started their career in finance in 1997. David has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Allan Nelson's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 18, 2019 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 1290 Broadway Suite 1000, Denver, CO 80203August 12, 2019 - Present
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
Office #1: 1290 Broadway Suite 1000, Denver, CO 80203November 11, 2005 - December 12, 2017
ALPS DISTRIBUTORS, INC.
September 1, 2003 - June 20, 2005
INVESCO DISTRIBUTORS, INC.
October 22, 1997 - September 1, 2003
INVESCO DISTRIBUTORS, 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
(7/18/2019)
(7/18/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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 | |
| DOLAN, DANIEL PATRICK MR. | SENIOR VP; DIRECTOR OF WEALTH MANAGEMENT | 1320273 |
| 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 |
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