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RP

Richard L. Platt

ALPS DISTRIBUTORS
Denver, CO 80203
Some features on this profile are disabled
CRD#: 4186355
RP

Professional summary

Richard Lynham Platt III, who also goes by Richard Lynham Platt 111, Richard Lynham Platt, Richard Lynham Platt III, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Lynham Platt 111 | Richard Lynham Platt | Richard Lynham Platt Iii

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 Richard Lynham Platt III'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

January 2, 2019 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203
BD
CRD#: 16853
Denver, CO
Past

January 2, 2015 - December 31, 2018

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

BD
CRD#: 144464
DENVER, CO
Past

August 22, 2014 - December 31, 2014

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

August 21, 2008 - May 23, 2011

TRANSAMERICA INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108488
DENVER, CO
Past

September 23, 2004 - August 14, 2014

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

September 9, 2002 - August 5, 2004

OPPENHEIMERFUNDS DISTRIBUTOR, INC.

BD
CRD#: 7834
NEW YORK, NY
Past

December 18, 2000 - December 3, 2001

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX

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
(1/2/2019)
RR
Alaska
(1/2/2019)
RR
Arizona
(1/2/2019)
RR
Arkansas
(1/2/2019)
RR
California
(1/2/2019)
RR
Colorado
(1/2/2019)
RR
Connecticut
(1/2/2019)
RR
Delaware
(1/2/2019)
RR
District of Columbia
(1/2/2019)
RR
Florida
(1/2/2019)
RR
Georgia
(1/2/2019)
RR
Hawaii
(1/2/2019)
RR
Idaho
(1/2/2019)
RR
Illinois
(1/2/2019)
RR
Indiana
(1/2/2019)
RR
Iowa
(1/2/2019)
RR
Kansas
(1/2/2019)
RR
Kentucky
(1/2/2019)
RR
Louisiana
(1/2/2019)
RR
Maine
(1/2/2019)
RR
Maryland
(1/2/2019)
RR
Massachusetts
(1/2/2019)
RR
Michigan
(1/2/2019)
RR
Minnesota
(1/2/2019)
RR
Mississippi
(1/2/2019)
RR
Missouri
(1/2/2019)
RR
Montana
(1/2/2019)
RR
Nebraska
(1/2/2019)
RR
Nevada
(1/2/2019)
RR
New Hampshire
(1/2/2019)
RR
New Jersey
(1/2/2019)
RR
New Mexico
(1/2/2019)
RR
New York
(1/2/2019)
RR
North Carolina
(1/2/2019)
RR
North Dakota
(1/2/2019)
RR
Ohio
(1/3/2019)
RR
Oklahoma
(1/2/2019)
RR
Oregon
(1/2/2019)
RR
Pennsylvania
(1/2/2019)
RR
Rhode Island
(1/2/2019)
RR
South Carolina
(1/2/2019)
RR
South Dakota
(1/2/2019)
RR
Tennessee
(1/2/2019)
RR
Texas
(1/2/2019)
RR
Utah
(1/2/2019)
RR
Vermont
(1/2/2019)
RR
Virginia
(1/2/2019)
RR
Washington
(1/2/2019)
RR
West Virginia
(1/2/2019)
RR
Wisconsin
(1/2/2019)
RR
Wyoming
(1/2/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/20/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 1/29/2001
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: 12/15/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/11/2015
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/29/2007
Investment Company Products/Variable Contracts Principal 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)
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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)

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#: 16853Denver, CO 80203

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