PM
Phillip J. Mosakowski
ALPS DISTRIBUTORS
San Jose, CA 95113
Some features on this profile are disabled
CRD#: 3173868
PM
Professional summary
Phillip James Mosakowski is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in San Jose, California.
Phillip is registered as a RR (Registered Representative) and started their career in finance in 1999. Phillip has worked at 3 firms and has passed the Series 63, SIE and Series 6 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 Phillip James Mosakowski'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
September 15, 2000 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 150 Almaden Blvd. Suite 1250, San Jose, CA 95113BD
CRD#: 16853
San Jose, CA
Past
January 13, 2004 - August 25, 2009
FIRSTHAND CAPITAL MANAGEMENT,INC.
RIA
CRD#: 107530
SUPERIOR, CO
Past
April 12, 1999 - May 3, 2000
IFS FUND DISTRIBUTORS, INC.
BD
CRD#: 24075
CINCINNATI, OH
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(9/15/2000)
RR
Alaska(9/15/2000)
RR
Arizona(9/15/2000)
RR
Arkansas(9/15/2000)
RR
California(9/15/2000)
RR
Colorado(9/15/2000)
RR
Connecticut(9/15/2000)
RR
Delaware(9/15/2000)
RR
District of Columbia(9/15/2000)
RR
Florida(9/18/2000)
RR
Georgia(9/15/2000)
RR
Hawaii(9/15/2000)
RR
Idaho(9/15/2000)
RR
Illinois(9/15/2000)
RR
Indiana(9/15/2000)
RR
Iowa(9/18/2000)
RR
Kansas(9/15/2000)
RR
Kentucky(9/15/2000)
RR
Louisiana(9/18/2000)
RR
Maine(9/18/2000)
RR
Maryland(9/15/2000)
RR
Massachusetts(9/15/2000)
RR
Michigan(9/15/2000)
RR
Minnesota(9/18/2000)
RR
Mississippi(9/20/2000)
RR
Missouri(9/18/2000)
RR
Montana(10/24/2000)
RR
Nebraska(9/15/2000)
RR
Nevada(9/15/2000)
RR
New Hampshire(9/15/2000)
RR
New Jersey(9/15/2000)
RR
New Mexico(11/6/2000)
RR
New York(9/15/2000)
RR
North Carolina(9/15/2000)
RR
North Dakota(9/15/2000)
RR
Ohio(9/18/2000)
RR
Oklahoma(9/15/2000)
RR
Oregon(9/15/2000)
RR
Pennsylvania(9/15/2000)
RR
Puerto Rico(9/15/2000)
RR
Rhode Island(9/18/2000)
RR
South Carolina(9/20/2000)
RR
South Dakota(9/15/2000)
RR
Texas(9/15/2000)
RR
Utah(9/15/2000)
RR
Vermont(9/18/2000)
RR
Virginia(9/18/2000)
RR
Washington(9/15/2000)
RR
West Virginia(9/18/2000)
RR
Wisconsin(9/15/2000)
RR
Wyoming(9/15/2000)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
