Alecia Dawn Wellen
Professional Summary
Alecia Dawn Wellen, who also goes by Alecia Dawn Staples, is a registered financial advisor currently at ALPS ADVISORS, INC. located in Denver, Colorado and ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. located in Denver, Colorado. Alecia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Alecia has worked at 7 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Alecia Dawn Staples
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Years of Experience
21 years in the financial services industry
Current & Past Employments
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Current Firm
ALPS ADVISERS, INC. | ALPS ADVISORS, INC.
Contact Information
Main Address
1290 Broadway, Suite 1000, Denver, CO 80203Mailing Address
Po Box 328, Denver, CO 80201-0328Phone Number
(303) 623-2577# of Employees
73SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Regulatory Assets Under Management
Total Number of Accounts
22AUM (Assets Under Management)
$38,832,034,748Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
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.
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
ALPS ADVISERS, INC. | ALPS ADVISORS, INC.
State Registrations and Notice Filings
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(5/27/2015)
(5/27/2015)
(5/27/2015)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/5/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
(1/4/2016)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Alecia Dawn Wellen's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
OPPENHEIMER & CO. INC.
TANDEM FINANCIAL, LLC
TRANSAMERICA FINANCIAL ADVISORS, LLC
