AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SM

Sean L. Mcternan

ALPS DISTRIBUTORS
Baltimore, MD 21231
Some features on this profile are disabled
CRD#: 4852476
SM

Professional summary

Sean Lawrence Mcternan is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Baltimore, Maryland.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2004. Sean has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Lawrence Mcternan'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

August 15, 2019 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 901 S Bond Street Suite 400, Baltimore, MD 21231
BD
CRD#: 16853
Baltimore, MD
Past

December 7, 2017 - June 12, 2018

PENN MUTUAL ASSET MANAGEMENT, LLC

RIA
CRD#: 107518
Horsham, PA
Past

September 25, 2017 - May 24, 2018

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Horsham, PA
Past

March 22, 2017 - September 22, 2017

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
HORSHAM, PA
Past

February 6, 2017 - September 22, 2017

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
HORSHAM, PA
Past

June 30, 2011 - October 31, 2016

ETICO PARTNERS, LLC

BD
CRD#: 122481
NEW YORK, NY
Past

May 1, 2010 - June 30, 2011

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA
CRD#: 108257
MINNEAPOLIS, MN
Past

May 1, 2010 - June 10, 2011

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BD
CRD#: 840
BOSTON, MA
Past

April 13, 2005 - May 1, 2010

BOFA ADVISORS, LLC

RIA
CRD#: 107900
INDIANAPOLIS, IN
Past

November 26, 2004 - April 12, 2005

COLUMBIA MANAGEMENT ADVISORS, INC.

RIA
CRD#: 105842
BOSTON, MA
Past

October 22, 2004 - May 1, 2010

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA

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
Pennsylvania
(8/15/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/17/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/24/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/2004
General Securities Representative 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)
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 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#: 16853Baltimore, MD 21231

TRUST BUT VERIFY

Monitor Sean Mcternan

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Brian Scott Mckinney
Brian MckinneyAdvisorCheck Check Mark
COMMONWEALTH FINANCIAL NETWORK
IAR
Columbia, MD
Gary Stuart Williams
Gary WilliamsAdvisorCheck Check Mark
COMMONWEALTH FINANCIAL NETWORK
IAR
Columbia, MD
Lawrence Nelson Leitch
Lawrence LeitchAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
TOWSON, MD
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics