Paul E. Wendel

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR

Denver, CO 80203

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CRD#: 3275331

Professional summary

Paul Eugene Wendel is a registered financial professional currently at ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. located in Denver, Colorado and ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

Paul is registered as a RR (Registered Representative) and started their career in finance in 1999. Paul has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Eugene Wendel'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

September 6, 2016 - Present

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203

CRD#: 144464

Denver, CO

Current

September 6, 2016 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203

CRD#: 16853

Denver, CO

Past

March 18, 2014 - August 29, 2016

WADDELL & REED

RIA

CRD#: 866

OVERLAND PARK, KS

Past

March 18, 2014 - August 29, 2016

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

March 18, 2014 - August 29, 2016

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

Past

August 21, 2012 - December 31, 2012

GRAND DISTRIBUTION SERVICES, LLC

CRD#: 127700

MILWAUKEE, WI

Past

August 21, 2012 - March 14, 2014

DISTRIBUTION SERVICES, LLC

CRD#: 25938

KANSAS CITY, MO

Past

April 7, 2004 - July 26, 2012

VSR FINANCIAL SERVICES, INC.

RIA

CRD#: 14503

OVERLAND PARK, KS

Past

February 13, 2004 - July 26, 2012

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

September 27, 1999 - December 11, 2002

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Colorado
(9/6/2016)

Kansas
(9/6/2016)

Exams

State Security Law Exam

IAR

Series 66

Date: 3/16/2004

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/24/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/18/1999

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

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

Name	Position	CRD#
ALPS HOLDINGS, INC.	PARENT
KYLLO, STEPHEN JOHN	SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER	3204474
NECKEL, TARA JILL	VP, DEPUTY CHIEF COMPLIANCE OFFICER	4051739
PARSONS, ERIC T	FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER	5215115

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Paul E. Wendel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Paul Eugene Wendel's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

WADDELL & REED

WADDELL & REED

IVY DISTRIBUTORS, INC.

GRAND DISTRIBUTION SERVICES, LLC

DISTRIBUTION SERVICES, LLC

VSR FINANCIAL SERVICES, INC.

VSR FINANCIAL SERVICES, INC.

SIGNATOR INVESTORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 3/16/2004

SIE

Date: 10/1/2018

Series 7

Date: 9/24/1999

Series 24

Date: 10/18/1999

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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