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MS

Michael E. Sylvester

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CRD#: 4562634
MS

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Michael Edward Sylvester was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 2002. Michael had worked at 16 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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. CANDLEWOOD WEALTHTECH ADVISORY LLC, INVESTMENT RELATED, ADDRESS ON FILE, INVESTMENT AND TECHNOLOGY CONSULTING, PRESIDENT, 12/2018, 120 HRS/MON, 120 HRS/MON DURING TRADING HOURS, INVESTMENT RESEARCH AND FINTECH CONSULTING. 2. FARTHER FINANCE ADVISORS LLC, INVESTMENT RELATED, 575 MARKET STREET SAN FRANCISCO CA 94105, REGISTERED INVESTMENT ADVISOR (RIA), VICE PRESIDENT, 07/2022, 160 HRS/MON, 130 HRS/MON DURING TRADING HOURS, INVESTMENT ADVISER (RA).

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 28, 2023 - July 5, 2024

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

July 18, 2022 - August 18, 2023

FARTHER

RIA
CRD#: 302050
New Milford, CT
Past

December 22, 2016 - November 30, 2018

MMC SECURITIES LLC

RIA
CRD#: 103846
Norwalk, CT
Past

December 14, 2016 - November 30, 2018

MMC SECURITIES LLC

BD
CRD#: 103846
Norwalk, CT
Past

February 3, 2016 - September 16, 2016

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

October 29, 2013 - January 23, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
Charlotte, NC
Past

October 29, 2013 - January 23, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
Charlotte, NC
Past

September 21, 2012 - October 19, 2012

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
STAMFORD, CT
Past

September 21, 2012 - October 19, 2012

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
STAMFORD, CT
Past

September 23, 2011 - July 13, 2012

EDELMAN FINANCIAL SERVICES, LLC

RIA
CRD#: 113299
BROOKLYN, NY
Past

August 22, 2011 - July 13, 2012

SANDERS MORRIS LLC

BD
CRD#: 20580
NEW YORK, NY
Past

January 20, 2011 - March 8, 2011

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

September 27, 2005 - June 30, 2009

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
NEW YORK, NY
Past

June 21, 2005 - May 12, 2010

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
NEW YORK, NY
Past

November 13, 2003 - May 6, 2004

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
BALTIMORE, MD
Past

October 24, 2003 - October 30, 2003

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

October 24, 2003 - October 30, 2003

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

October 31, 2002 - March 14, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
COLUMBIA, MD
Past

October 17, 2002 - March 14, 2003

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

October 17, 2002 - March 14, 2003

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 5/4/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 9/22/2011
Uniform Combined 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: 10/16/2002
General Securities Representative Examination

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#: 16853

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