Alice Mui

INVESTMENT DISTRIBUTORS

Covington, KY 41011

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CRD#: 4903598

Professional summary

Alice Mui, who also goes by Aly Mui, Alyce Mui, is a registered financial professional currently at INVESTMENT DISTRIBUTORS, INC. located in Covington, Kentucky.

Alice is registered as a RR (Registered Representative) and started their career in finance in 2005. Alice has worked at 4 firms and has passed the Series 63, Series 99TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Aly Mui | Alyce Mui

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 Alice Mui'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

January 3, 2022 - Present

INVESTMENT DISTRIBUTORS, INC.

Office #1: 50 E Rivercenter Blvd Suite 1600, Covington, KY 41011

CRD#: 35490

Covington, KY

Past

June 4, 2019 - January 3, 2022

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

Greenwood Village, CO

Past

December 7, 2009 - June 3, 2019

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

April 29, 2005 - August 31, 2009

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Colorado
(1/3/2022)

Kansas
(1/3/2022)

Exams

State Security Law Exam

Series 63

Date: 10/23/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 4/28/2005

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 7/31/2007

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

CRD#: 35490 / SEC#: , 8-46802

Broker-Dealer Firm Regulated by FINRA (New Orleans district office)

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Contact information

Main Address

2801 Highway 280 South, Birmingham, AL 35223

Mailing Address

2801 Highway 280 South, Birmingham, AL 35223

Phone number

(205) 868-3073

Established

Tennessee since 08/30/1993

Firm type

Corporation

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
PROTECTIVE LIFE CORPORATION	PARENT COMPANY
CARLSON, MARTHA L	DESIGNATED RESPONSIBLE LICENSED PRODUCER	2731502
COFFMAN, BENJAMIN PAUL	CHIEF FINANCIAL OFFICER	6738662
COLLAZO, KIMBERLY	ASSISTANT SECRETARY	8075061
CREUTZMANN, SCOTT EMIL	DIRECTOR	5351383
LANE, JAMIE LAURA	DIRECTOR	5779720
LEE, FELICIA MALLOCH	SECRETARY	7498538
MCCRELESS, KEVIN LUCIUS	CHIEF COMPLIANCE OFFICER	5180100
MORSCH, LETITIA A	DIRECTOR & ASSISTANT SECRETARY	5133531
TENNENT, RAYBURN EDWARD	SR ANALYST FINANCIAL REPORTING	6245099
WAGNER, JAMES CARL JR	PRESIDENT & DIRECTOR	4261922

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Alice Mui

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alice Mui's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

EMPOWER FINANCIAL SERVICES, INC.

INVESCO DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/23/2017

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 6

Date: 4/28/2005

Series 26

Date: 7/31/2007

FINRA

Current Firm

INVESTMENT DISTRIBUTORS, INC.

Contact information

FINRA licenses (51 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

INVESTMENT DISTRIBUTORS, INC.

TRUST BUT VERIFY

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