Karl J. Zeller

ALPS ADVISORS

Denver, CO 80203

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CRD#: 4290109

Professional summary

Karl Josef Zeller is a registered financial advisor currently at ALPS ADVISORS, INC. located in Denver, Colorado and ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

Karl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Karl has worked at 11 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. ALPS DISTRIBUTORS, INC. 1290 BROADWAY, SUITE 1000, DENVER, CO 80203, BUSINESS IS INVESTMENT RELATED - BD, PRODUCT SPECIALIST, 09/2021, 160 HRS/MON, 130 HRS/MON DURING TRADING HOURS. 2. ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. 1290 BROADWAY, SUITE 1000, DENVER, CO 80203, BUSINESS IS INVESTMENT RELATED - BD, PRODUCT SPECIALIST, 01/2022, 160 HRS/MON, 130 HRS/MON DURING TRADING HOURS. 3. ALPS ADVISORS INC, INVESTMENT RELATED, 1290 BROADWAY, SUITE 1000, DENVER, CO 80203, RIA, PRODUCT SPECIALIST, 01/2022, 40 HRS/MON, 40 HRS/MON DURING TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl Josef Zeller'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

February 4, 2022 - Present

ALPS ADVISORS, INC.

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

RIA

CRD#: 134340

Denver, CO

Current

September 27, 2021 - Present

ALPS DISTRIBUTORS, INC.

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

CRD#: 16853

Denver, CO

Current

February 3, 2022 - Present

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

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

CRD#: 144464

Denver, CO

Past

September 17, 2018 - June 8, 2021

M&T SECURITIES, INC.

RIA

CRD#: 17358

Villanova, PA

Past

September 11, 2018 - June 8, 2021

M&T SECURITIES, INC.

CRD#: 17358

VILLANOVA, PA

Past

January 8, 2018 - July 23, 2018

FORESIDE FUND SERVICES, LLC

CRD#: 46106

Plymouth Meeting, PA

Past

March 16, 2015 - January 2, 2018

BNY MELLON SECURITIES CORPORATION

RIA

CRD#: 231

PLYMOUTH MEETING, PA

Past

March 16, 2015 - January 2, 2018

BNY MELLON SECURITIES CORPORATION

CRD#: 231

PLYMOUTH MEETING, PA

Past

January 3, 2006 - January 13, 2015

FORESIDE FUND SERVICES, LLC

CRD#: 46106

BERWYN, PA

Past

December 2, 2004 - December 31, 2005

CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.

CRD#: 40644

JENKINTOWN, PA

Past

December 1, 2004 - February 12, 2015

TURNER INVESTMENTS, L.P.

RIA

CRD#: 105954

BERWYN, PA

Past

January 30, 2003 - December 1, 2004

TURNER INVESTMENTS, L.P.

RIA

CRD#: 105954

BERWYN, PA

Past

January 25, 2003 - December 1, 2004

CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.

CRD#: 40644

JENKINTOWN, PA

Past

July 16, 2002 - December 12, 2002

RITTENHOUSE ASSET MANAGEMENT, INC.

RIA

CRD#: 106562

RADNOR, PA

Past

January 7, 2002 - December 12, 2002

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

August 14, 2001 - December 3, 2001

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

ALPS ADVISORS, INC.

ALPS ADVISERS, INC. | ALPS ADVISORS, INC.

CRD#: 134340 / SEC#: 801-67135

RIA

Registered Investment Advisory firm - (9/12/2006 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(9/27/2021)

Alaska
(9/27/2021)

Arizona
(9/27/2021)

Arkansas
(9/27/2021)

California
(9/27/2021)

Colorado
(9/27/2021)

IAR

Colorado
(2/4/2022)

Connecticut
(9/27/2021)

Delaware
(9/27/2021)

District of Columbia
(9/27/2021)

Florida
(9/27/2021)

Georgia
(9/27/2021)

Hawaii
(9/27/2021)

Idaho
(9/27/2021)

Illinois
(9/27/2021)

Indiana
(9/27/2021)

Iowa
(9/27/2021)

Kansas
(9/27/2021)

Kentucky
(9/27/2021)

Louisiana
(9/27/2021)

Maine
(9/27/2021)

Maryland
(9/27/2021)

Massachusetts
(9/27/2021)

Michigan
(9/27/2021)

Minnesota
(9/27/2021)

Mississippi
(9/27/2021)

Missouri
(9/27/2021)

Montana
(9/27/2021)

Nebraska
(9/27/2021)

Nevada
(9/27/2021)

New Hampshire
(9/27/2021)

New Jersey
(9/27/2021)

New Mexico
(9/27/2021)

New York
(9/27/2021)

North Carolina
(9/27/2021)

North Dakota
(9/27/2021)

Ohio
(9/29/2021)

Oklahoma
(9/27/2021)

Oregon
(9/27/2021)

Pennsylvania
(9/27/2021)

IAR

Pennsylvania
(2/4/2022)

Rhode Island
(9/27/2021)

South Carolina
(9/27/2021)

South Dakota
(9/27/2021)

Tennessee
(9/27/2021)

Texas
(9/27/2021)

Utah
(9/27/2021)

Vermont
(9/27/2021)

Virginia
(9/27/2021)

Washington
(9/27/2021)

West Virginia
(9/27/2021)

Wisconsin
(9/27/2021)

Wyoming
(9/27/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/10/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 7/11/2002

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/2001

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALPS ADVISORS, INC.

ALPS ADVISERS, INC. | ALPS ADVISORS, INC.

CRD#: 134340 / SEC#: 801-67135

RIA

Registered Investment Advisory firm - (9/12/2006 Approved)

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Contact information

Main Address

1290 Broadway, Suite 1000, Denver, CO 80203

Mailing Address

Po Box 328, Denver, CO 80201-0328

Phone number

(303) 623-2577

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (53 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

ALPS ADVISORS, INC. FORM ADV PART 2A (9/30/2025)

Regulatory assets under management

Total Number of Accounts	17
AUM (Assets Under Management)	$ 30,756,201,205

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.

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Advisor Monitoring

Firm Stability Insights

Karl J. Zeller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Karl Josef Zeller's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

M&T SECURITIES, INC.

M&T SECURITIES, INC.

FORESIDE FUND SERVICES, LLC

BNY MELLON SECURITIES CORPORATION

BNY MELLON SECURITIES CORPORATION

FORESIDE FUND SERVICES, LLC

CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.

TURNER INVESTMENTS, L.P.

TURNER INVESTMENTS, L.P.

CONSTELLATION INVESTMENT DISTRIBUTION COMPANY INC.

RITTENHOUSE ASSET MANAGEMENT, INC.

NUVEEN SECURITIES, LLC

LEGG MASON WOOD WALKER, INCORPORATED

Primary Firm SEC Registration

ALPS ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/10/2004

Series 65

Date: 7/11/2002

SIE

Date: 10/1/2018

Series 7

Date: 8/13/2001

FINRA

Current Firm

ALPS ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPS ADVISORS, INC.

TRUST BUT VERIFY

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