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SR

Stephen R. Roberts

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR
Denver, CO 80203
Some features on this profile are disabled
CRD#: 4598301
SR

Professional summary

Stephen Ralph Roberts, who also goes by Steve Roberts, is a registered financial professional currently at ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. located in Denver, Colorado and ALPS DISTRIBUTORS, INC. located in Denver, Colorado.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2003. Stephen has worked at 12 firms and has passed the Series 63, Series 66, SIE, Series 14, Series 9 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Steve Roberts

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 Stephen Ralph Roberts'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

May 27, 2022 - Present

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203
BD
CRD#: 144464
Denver, CO
Current

May 27, 2022 - Present

ALPS DISTRIBUTORS, INC.

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

February 1, 2022 - May 23, 2022

ULTIMUS FUND DISTRIBUTORS, LLC

BD
CRD#: 104177
CINCINNATI, OH
Past

February 1, 2022 - May 23, 2022

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE
Past

March 28, 2017 - January 21, 2022

MATRIX 360 DISTRIBUTORS, LLC

BD
CRD#: 159715
FAIRWAY, KS
Past

January 20, 2015 - February 24, 2015

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA
CRD#: 134139
FAIRFIELD, IA
Past

January 19, 2015 - February 24, 2015

CAMBRIDGE INVESTMENT RESEARCH, INC.

BD
CRD#: 39543
FAIRFIELD, IA
Past

July 14, 2014 - October 20, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
OVERLAND PARK, KS
Past

July 10, 2014 - October 20, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
OVERLAND PARK, KS
Past

April 11, 2014 - April 30, 2014

LABRUNERIE FINANCIAL SERVICES, INC.

BD
CRD#: 37627
COLUMBIA, MO
Past

May 4, 2005 - December 31, 2013

VSR FINANCIAL SERVICES, INC.

RIA
CRD#: 14503
OVERLAND PARK, KS
Past

February 9, 2005 - December 31, 2013

VSR FINANCIAL SERVICES, INC.

BD
CRD#: 14503
OVERLAND PARK, KS
Past

March 4, 2004 - January 24, 2005

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO
Past

February 4, 2003 - February 19, 2004

U.S. BANCORP INVESTMENTS, INC.

BD
CRD#: 17868
SAINT PAUL, MN

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
Missouri
(5/27/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 2/11/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/2/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/5/2014
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/3/2003
General Securities 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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