Richard Lynham Platt Iii
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 advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Lynham Platt 111, Richard Lynham Platt, Richard Lynham Platt Iii
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
26 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.
Contact Information
Main Address
1290 Broadway Suite 1000, Denver, CO 80203Mailing Address
1290 Broadway Suite 1000, Denver, CO 80203Phone Number
(303) 623-2577Established
Colorado since 07/01/1985Firm Type
CorporationFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Jan 2007About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Lynham Platt III's CRS (Customer Relationship Summary).
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