DF
David F. Frank
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR
Denver, CO 80203
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CRD#: 3006007
DF
Professional summary
David Fillip Frank, CIMA®, who also goes by Dave Frank, David Frank, is a registered financial professional currently at ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. located in Denver, Colorado.
David is registered as a RR (Registered Representative) and started their career in finance in 1998. David has worked at 4 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dave Frank | David Frank
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 David Fillip Frank'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®
Experience
Current
January 2, 2014 - Present
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
Office #1: 1290 Broadway Suite 1000, Denver, CO 80203BD
CRD#: 144464
Denver, CO
Past
January 28, 2008 - December 31, 2013
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
DENVER, CO
Past
March 20, 2003 - January 25, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
RIA
CRD#: 145
PHILADELPHIA, PA
Past
December 31, 2000 - January 25, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
PHILADELPHIA, PA
Past
March 18, 1998 - December 31, 2000
DELAWARE DISTRIBUTORS, L.P.
BD
CRD#: 14232
PHILADELPHIA, PA
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(1/2/2014)
RR
Alaska(1/2/2014)
RR
Arizona(1/2/2014)
RR
Arkansas(1/2/2014)
RR
California(1/2/2014)
RR
Colorado(1/2/2014)
RR
Connecticut(1/2/2014)
RR
Delaware(1/2/2014)
RR
District of Columbia(1/2/2014)
RR
Florida(1/2/2014)
RR
Georgia(1/2/2014)
RR
Hawaii(1/2/2014)
RR
Idaho(1/2/2014)
RR
Illinois(1/2/2014)
RR
Indiana(1/2/2014)
RR
Iowa(1/2/2014)
RR
Kansas(1/2/2014)
RR
Kentucky(1/2/2014)
RR
Louisiana(1/2/2014)
RR
Maine(1/2/2014)
RR
Maryland(1/2/2014)
RR
Massachusetts(1/2/2014)
RR
Michigan(1/2/2014)
RR
Minnesota(1/2/2014)
RR
Mississippi(1/2/2014)
RR
Missouri(1/2/2014)
RR
Montana(1/2/2014)
RR
Nebraska(1/2/2014)
RR
Nevada(1/2/2014)
RR
New Hampshire(1/2/2014)
RR
New Jersey(1/2/2014)
RR
New Mexico(1/2/2014)
RR
New York(1/2/2014)
RR
North Carolina(1/3/2014)
RR
North Dakota(1/2/2014)
RR
Ohio(1/2/2014)
RR
Oklahoma(1/2/2014)
RR
Oregon(1/2/2014)
RR
Pennsylvania(1/2/2014)
RR
Rhode Island(1/2/2014)
RR
South Carolina(1/2/2014)
RR
South Dakota(1/2/2014)
RR
Tennessee(1/2/2014)
RR
Texas(1/2/2014)
RR
Utah(1/2/2014)
RR
Vermont(1/2/2014)
RR
Virginia(1/2/2014)
RR
Washington(1/2/2014)
RR
West Virginia(1/2/2014)
RR
Wisconsin(1/2/2014)
RR
Wyoming(1/2/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AP
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
ALPS PORTFOLIO SOLUTIONS | FTAM FUNDS DISTRIBUTOR, INC. | ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
CRD#: 144464 / SEC#: , 8-67659
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 03/19/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
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 |
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.
