BS
Bruce H. Swenson
ALPS DISTRIBUTORS
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 4713331
BS
Professional summary
Bruce Harris Swenson is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Stamford, Connecticut.
Bruce is registered as a RR (Registered Representative) and started their career in finance in 2004. Bruce has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Bruce Harris Swenson'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®
NoneExperience
Current
July 1, 2010 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 300 First Stamford Place Suite 440, Stamford, CT 06902BD
CRD#: 16853
Stamford, CT
Past
January 4, 2006 - June 30, 2010
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
NEW YORK, NY
Past
January 3, 2005 - January 3, 2006
FORESIDE DISTRIBUTION SOLUTIONS, LLC
BD
CRD#: 118787
PORTLAND, ME
Past
January 19, 2004 - December 31, 2004
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
PORTLAND, ME
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
Alabama(7/1/2010)
RR
Alaska(7/1/2010)
RR
Arizona(7/1/2010)
RR
Arkansas(7/1/2010)
RR
California(7/1/2010)
RR
Colorado(7/1/2010)
RR
Connecticut(7/1/2010)
RR
Delaware(7/1/2010)
RR
District of Columbia(7/1/2010)
RR
Florida(7/1/2010)
RR
Georgia(7/1/2010)
RR
Hawaii(7/1/2010)
RR
Idaho(7/1/2010)
RR
Illinois(7/1/2010)
RR
Indiana(7/1/2010)
RR
Iowa(7/1/2010)
RR
Kansas(7/1/2010)
RR
Kentucky(7/1/2010)
RR
Louisiana(7/1/2010)
RR
Maine(7/1/2010)
RR
Maryland(7/1/2010)
RR
Massachusetts(7/1/2010)
RR
Michigan(7/1/2010)
RR
Minnesota(7/1/2010)
RR
Mississippi(7/1/2010)
RR
Missouri(7/1/2010)
RR
Montana(7/1/2010)
RR
Nebraska(7/1/2010)
RR
Nevada(7/1/2010)
RR
New Hampshire(7/1/2010)
RR
New Jersey(7/1/2010)
RR
New Mexico(7/1/2010)
RR
New York(7/1/2010)
RR
North Carolina(7/1/2010)
RR
North Dakota(7/1/2010)
RR
Ohio(7/1/2010)
RR
Oklahoma(7/1/2010)
RR
Oregon(7/1/2010)
RR
Pennsylvania(7/1/2010)
RR
Puerto Rico(7/1/2010)
RR
Rhode Island(7/1/2010)
RR
South Carolina(7/1/2010)
RR
South Dakota(7/1/2010)
RR
Tennessee(7/1/2010)
RR
Texas(7/1/2010)
RR
Utah(7/1/2010)
RR
Vermont(7/1/2010)
RR
Virginia(7/1/2010)
RR
Washington(7/1/2010)
RR
West Virginia(7/1/2010)
RR
Wisconsin(7/1/2010)
RR
Wyoming(7/1/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
