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JG

Jeffrey J. Gross

ALPS DISTRIBUTORS
Scottsdale, AZ 85251
Some features on this profile are disabled
CRD#: 3252431
JG

Professional summary

Jeffrey Joseph Gross, who also goes by Jeff Gross, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Scottsdale, Arizona.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 1999. Jeffrey has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeff Gross

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Joseph Gross'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®
None

Experience

Current

August 29, 2024 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 6710 E. Camelback Suite 100, Scottsdale, AZ 85251
BD
CRD#: 16853
Scottsdale, AZ
Past

January 9, 2023 - August 20, 2024

BLUEROCK CAPITAL MARKETS LLC

BD
CRD#: 136974
NEW YORK, NY
Past

March 25, 2015 - January 4, 2023

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
IRVINE, CA
Past

July 6, 2005 - April 14, 2015

CCO CAPITAL, LLC

BD
CRD#: 31147
PHOENIX, AZ
Past

November 1, 2004 - June 9, 2005

AMUNDI ASSET MANAGEMENT US, INC.

RIA
CRD#: 107719
BOSTON, MA
Past

June 9, 2000 - June 9, 2005

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
BOSTON, MA
Past

July 28, 1999 - May 8, 2000

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

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
(8/29/2024)
RR
Alaska
(8/29/2024)
RR
Arizona
(8/30/2024)
RR
Arkansas
(8/29/2024)
RR
California
(8/29/2024)
RR
Colorado
(8/29/2024)
RR
Connecticut
(8/29/2024)
RR
Delaware
(8/29/2024)
RR
District of Columbia
(8/29/2024)
RR
Florida
(8/29/2024)
RR
Georgia
(8/29/2024)
RR
Hawaii
(8/29/2024)
RR
Idaho
(8/29/2024)
RR
Illinois
(8/29/2024)
RR
Indiana
(8/29/2024)
RR
Iowa
(8/29/2024)
RR
Kansas
(8/29/2024)
RR
Kentucky
(8/29/2024)
RR
Louisiana
(8/29/2024)
RR
Maine
(8/29/2024)
RR
Maryland
(8/29/2024)
RR
Massachusetts
(8/29/2024)
RR
Michigan
(8/29/2024)
RR
Minnesota
(8/29/2024)
RR
Mississippi
(8/29/2024)
RR
Missouri
(8/29/2024)
RR
Montana
(8/29/2024)
RR
Nebraska
(8/29/2024)
RR
Nevada
(8/29/2024)
RR
New Hampshire
(8/29/2024)
RR
New Jersey
(8/29/2024)
RR
New Mexico
(8/29/2024)
RR
New York
(8/29/2024)
RR
North Carolina
(8/29/2024)
RR
North Dakota
(8/29/2024)
RR
Ohio
(8/29/2024)
RR
Oklahoma
(8/29/2024)
RR
Oregon
(8/29/2024)
RR
Pennsylvania
(8/29/2024)
RR
Rhode Island
(8/29/2024)
RR
South Carolina
(8/29/2024)
RR
South Dakota
(8/29/2024)
RR
Tennessee
(8/29/2024)
RR
Texas
(8/29/2024)
RR
Utah
(8/29/2024)
RR
Vermont
(8/29/2024)
RR
Virginia
(8/29/2024)
RR
Washington
(8/29/2024)
RR
West Virginia
(8/29/2024)
RR
Wisconsin
(8/29/2024)
RR
Wyoming
(8/29/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/29/2004
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/26/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/28/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/26/1999
Investment Company Products/Variable Contracts Representative Examination
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)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
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Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ALPS HOLDINGS, INC.PARENT
KYLLO, STEPHEN JOHNSVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER3204474
NECKEL, TARA JILLVP, DEPUTY CHIEF COMPLIANCE OFFICER4051739
PARSONS, ERIC TFINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER5215115

Disclosures

Regulatory Event4

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.

Company Information

ALPS DISTRIBUTORS, INC.

CRD#: 16853Scottsdale, AZ 85251

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