RD
Ryan M. Duffy
ALPS DISTRIBUTORS
Denver, CO 80202
Some features on this profile are disabled
CRD#: 4804608
RD
Professional summary
Ryan Michael Duffy is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Denver, Colorado.
Ryan is registered as a RR (Registered Representative) and started their career in finance in 2004. Ryan has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 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 Ryan Michael Duffy'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
September 4, 2020 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 1430 Blake Street, Denver, CO 80202BD
CRD#: 16853
Denver, CO
Past
December 17, 2008 - August 28, 2020
PRINCIPAL FUNDS DISTRIBUTOR, INC.
BD
CRD#: 43261
NEW YORK, NY
Past
June 16, 2004 - December 8, 2008
EQUITABLE DISTRIBUTORS, LLC
BD
CRD#: 25900
CHARLOTTE, NC
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(9/4/2020)
RR
Arizona(9/4/2020)
RR
Arkansas(9/4/2020)
RR
California(9/4/2020)
RR
Colorado(9/4/2020)
RR
Connecticut(9/4/2020)
RR
Delaware(9/4/2020)
RR
District of Columbia(9/4/2020)
RR
Florida(9/4/2020)
RR
Georgia(9/4/2020)
RR
Idaho(9/4/2020)
RR
Illinois(9/4/2020)
RR
Indiana(9/4/2020)
RR
Iowa(9/4/2020)
RR
Kansas(9/4/2020)
RR
Kentucky(9/4/2020)
RR
Louisiana(9/4/2020)
RR
Maine(9/4/2020)
RR
Maryland(9/4/2020)
RR
Massachusetts(9/4/2020)
RR
Michigan(9/4/2020)
RR
Minnesota(9/4/2020)
RR
Mississippi(9/4/2020)
RR
Missouri(9/4/2020)
RR
Montana(9/4/2020)
RR
Nebraska(9/4/2020)
RR
Nevada(9/4/2020)
RR
New Hampshire(9/4/2020)
RR
New Jersey(9/4/2020)
RR
New Mexico(9/4/2020)
RR
New York(9/4/2020)
RR
North Carolina(9/4/2020)
RR
North Dakota(9/4/2020)
RR
Ohio(9/8/2020)
RR
Oklahoma(9/4/2020)
RR
Oregon(9/4/2020)
RR
Pennsylvania(9/4/2020)
RR
Rhode Island(9/4/2020)
RR
South Carolina(9/4/2020)
RR
South Dakota(9/4/2020)
RR
Tennessee(9/4/2020)
RR
Texas(9/4/2020)
RR
Utah(9/4/2020)
RR
Vermont(9/4/2020)
RR
Virginia(9/4/2020)
RR
Washington(9/4/2020)
RR
West Virginia(9/4/2020)
RR
Wisconsin(9/4/2020)
RR
Wyoming(9/4/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
