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KP

Kosal Prum

ALPS DISTRIBUTORS
BERNARDSVILLE, NJ 07924
Some features on this profile are disabled
CRD#: 4463732
KP
Kosal PrumALPS DISTRIBUTORS

Professional summary

Kosal Prum is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Bernardsville, New Jersey.

Kosal is registered as a RR (Registered Representative) and started their career in finance in 2002. Kosal has worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

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 Kosal Prum'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 14, 2026 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 2 Morristown Road, Bernardsville, NJ 07924
BD
CRD#: 16853
BERNARDSVILLE, NJ
Past

December 6, 2022 - October 6, 2025

FRED ALGER & COMPANY, LLC

BD
CRD#: 5300
NEW YORK, NY
Past

March 20, 2020 - February 28, 2022

THORNBURG INVESTMENT MANAGEMENT INC

RIA
CRD#: 106357
Maple Grove, MN
Past

March 20, 2020 - February 28, 2022

THORNBURG SECURITIES LLC

BD
CRD#: 14857
SANTA FE, NM
Past

March 24, 2008 - January 27, 2020

ALLSPRING FUNDS MANAGEMENT, LLC

RIA
CRD#: 110841
MAPLE GROVE, MN
Past

March 5, 2008 - January 27, 2020

ALLSPRING FUNDS DISTRIBUTOR, LLC

BD
CRD#: 133366
CHARLOTTE, NC
Past

March 14, 2007 - March 6, 2008

RIVERSOURCE DISTRIBUTORS, INC.

BD
CRD#: 139135
MINNEAPOLIS, MN
Past

October 4, 2004 - December 31, 2005

AMERICAN GENERAL SECURITIES INCORPORATED

BD
CRD#: 13626
HOUSTON, TX
Past

February 24, 2004 - September 1, 2004

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN
Past

January 1, 2002 - June 10, 2003

CNL SECURITIES CORP.

BD
CRD#: 10356
ORLANDO, FL

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
California
(8/14/2026)
RR
Iowa
(8/14/2026)
RR
Minnesota
(8/14/2026)
RR
Nebraska
(8/14/2026)
RR
North Dakota
(8/14/2026)
RR
South Dakota
(8/14/2026)
RR
Wisconsin
(8/14/2026)

Exams

What does exam status mean?
State Security Law Exam
RR
PR
Series 66
Status Unavailable
Passed: 3/24/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Status Unavailable
Passed: 11/12/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Status Unavailable
Passed: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Status Unavailable
Passed: 12/27/2001
General Securities 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)
Loading...

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

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#: 16853Bernardsville, NJ 07924

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