JM
Jonathan M. Mohrhardt
ALPS DISTRIBUTORS
West Palm Beach, FL 33401
Some features on this profile are disabled
CRD#: 3106914
JM
Professional summary
Jonathan Michael Mohrhardt, who also goes by Jon Mohrhardt, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in West Palm Beach, Florida.
Jonathan is registered as a RR (Registered Representative) and started their career in finance in 1998. Jonathan has worked at 3 firms and has passed the Series 63, Series 65, SIE, Series 55, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Jon Mohrhardt
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 Jonathan Michael Mohrhardt'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
October 29, 2014 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 360 South Rosemary Avenue Suite 1420, West Palm Beach, FL 33401BD
CRD#: 16853
West Palm Beach, FL
Past
March 4, 2011 - October 4, 2012
RIVERNORTH SECURITIES, LLC
BD
CRD#: 153786
CHICAGO, IL
Past
September 29, 1998 - September 23, 1999
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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(10/31/2014)
RR
Alaska(10/30/2014)
RR
Arizona(11/18/2014)
RR
Arkansas(10/30/2014)
RR
California(10/30/2014)
RR
Colorado(10/30/2014)
RR
Connecticut(10/30/2014)
RR
Delaware(10/30/2014)
RR
District of Columbia(10/30/2014)
RR
Florida(10/31/2014)
RR
Georgia(10/30/2014)
RR
Hawaii(10/30/2014)
RR
Idaho(10/30/2014)
RR
Illinois(10/29/2014)
RR
Indiana(11/12/2014)
RR
Iowa(10/30/2014)
RR
Kansas(10/30/2014)
RR
Kentucky(10/30/2014)
RR
Louisiana(11/3/2014)
RR
Maine(10/30/2014)
RR
Maryland(10/31/2014)
RR
Massachusetts(10/31/2014)
RR
Michigan(10/30/2014)
RR
Minnesota(10/30/2014)
RR
Mississippi(11/5/2014)
RR
Missouri(10/30/2014)
RR
Montana(10/30/2014)
RR
Nebraska(10/30/2014)
RR
Nevada(11/17/2014)
RR
New Hampshire(10/30/2014)
RR
New Jersey(11/3/2014)
RR
New Mexico(10/30/2014)
RR
New York(10/30/2014)
RR
North Carolina(10/31/2014)
RR
North Dakota(10/30/2014)
RR
Ohio(10/30/2014)
RR
Oklahoma(10/31/2014)
RR
Oregon(10/30/2014)
RR
Pennsylvania(10/30/2014)
RR
Puerto Rico(10/30/2014)
RR
Rhode Island(10/30/2014)
RR
South Carolina(10/30/2014)
RR
South Dakota(10/30/2014)
RR
Tennessee(10/30/2014)
RR
Texas(11/4/2014)
RR
Utah(10/30/2014)
RR
Vermont(10/31/2014)
RR
Virgin Islands(10/31/2014)
RR
Virginia(10/30/2014)
RR
Washington(11/3/2014)
RR
West Virginia(11/7/2014)
RR
Wisconsin(10/30/2014)
RR
Wyoming(10/30/2014)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 8/15/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product 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.
