PB
Paul S. Baiocchi
ALPS DISTRIBUTORS
Denver, CO 80203
Some features on this profile are disabled
CRD#: 4820817
PB
Professional summary
Paul Sebastian Baiocchi is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Denver, Colorado and ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. located in Denver, Colorado.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2004. Paul has worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 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 Paul Sebastian Baiocchi'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
May 4, 2020 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 1290 Broadway Suite 1000, Denver, CO 80203BD
CRD#: 16853
Denver, CO
Current
November 4, 2021 - Present
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
Office #1: 1290 Broadway Suite 1000, Denver, CO 80203BD
CRD#: 144464
Denver, CO
Past
May 12, 2016 - January 3, 2020
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
September 2, 2014 - May 12, 2016
PYRAMIS DISTRIBUTORS CORPORATION LLC
BD
CRD#: 146430
DENVER, CO
Past
April 29, 2014 - September 4, 2014
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
DENVER, CO
Past
July 23, 2004 - April 24, 2007
A.G.P. / ALLIANCE GLOBAL PARTNERS
BD
CRD#: 8361
WESTPORT, CT
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(5/4/2020)
RR
Alaska(5/4/2020)
RR
Arizona(5/4/2020)
RR
Arkansas(5/4/2020)
RR
California(5/4/2020)
RR
Colorado(5/4/2020)
RR
Connecticut(5/4/2020)
RR
Delaware(5/4/2020)
RR
District of Columbia(5/4/2020)
RR
Florida(5/4/2020)
RR
Georgia(5/4/2020)
RR
Hawaii(5/4/2020)
RR
Idaho(5/4/2020)
RR
Illinois(5/4/2020)
RR
Indiana(5/4/2020)
RR
Iowa(5/4/2020)
RR
Kansas(5/4/2020)
RR
Kentucky(5/4/2020)
RR
Louisiana(5/4/2020)
RR
Maine(5/4/2020)
RR
Maryland(5/4/2020)
RR
Massachusetts(5/4/2020)
RR
Michigan(5/4/2020)
RR
Minnesota(5/4/2020)
RR
Mississippi(5/4/2020)
RR
Missouri(5/4/2020)
RR
Montana(5/4/2020)
RR
Nebraska(5/4/2020)
RR
Nevada(5/4/2020)
RR
New Hampshire(5/4/2020)
RR
New Jersey(5/4/2020)
RR
New Mexico(5/4/2020)
RR
New York(5/4/2020)
RR
North Carolina(5/4/2020)
RR
North Dakota(5/4/2020)
RR
Ohio(5/4/2020)
RR
Oklahoma(5/4/2020)
RR
Oregon(5/4/2020)
RR
Pennsylvania(5/4/2020)
RR
Rhode Island(5/4/2020)
RR
South Carolina(5/4/2020)
RR
South Dakota(5/4/2020)
RR
Tennessee(5/4/2020)
RR
Texas(5/4/2020)
RR
Utah(5/4/2020)
RR
Vermont(5/4/2020)
RR
Virginia(5/4/2020)
RR
Washington(5/4/2020)
RR
West Virginia(5/4/2020)
RR
Wisconsin(5/4/2020)
RR
Wyoming(5/4/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
AP
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
ALPS PORTFOLIO SOLUTIONS | FTAM FUNDS DISTRIBUTOR, INC. | ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
CRD#: 144464 / SEC#: , 8-67659
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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 03/19/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALPS HOLDINGS INC. | PARENT | |
| DOLAN, DANIEL PATRICK MR. | SENIOR VP; DIRECTOR OF WEALTH MANAGEMENT | 1320273 |
| IRELAND, KEVIN J | SENIOR VP, DIRECTOR OF INSTITUTIONAL SALES | 1331960 |
| KYLLO, STEPHEN JOHN | SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER | 3204474 |
| PARSONS, ERIC T | FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER | 5215115 |
| WELLEN, ALECIA DAWN | VP, CHIEF COMPLIANCE OFFICER | 4846551 |
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.
