Travis I. Printz

ALPS DISTRIBUTORS

New York, NY 10022

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CRD#: 4932595

Professional summary

Travis Ian Printz is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in New York, New York.

Travis is registered as a RR (Registered Representative) and started their career in finance in 2007. Travis has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 Travis Ian Printz'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

September 27, 2018 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 520 Madison Avenue 42nd Floor, New York, NY 10022

CRD#: 16853

New York, NY

Past

March 14, 2017 - September 21, 2018

MATRIX 360 DISTRIBUTORS, LLC

CRD#: 159715

New York, NY

Past

January 30, 2017 - March 15, 2017

MATRIX CAPITAL GROUP, INC.

CRD#: 33364

New York, NY

Past

February 18, 2013 - December 31, 2016

MATRIX CAPITAL GROUP, INC.

CRD#: 33364

New York, NY

Past

October 17, 2011 - December 5, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

FLORHAM PARK, NJ

Past

May 4, 2011 - December 5, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

FLORHAM PARK, NJ

Past

July 28, 2009 - April 11, 2011

HRC FUND ASSOCIATES, LLC

CRD#: 142846

NEW YORK, NY

Past

November 17, 2008 - March 16, 2009

QUASAR DISTRIBUTORS, LLC

CRD#: 103848

PORTLAND, ME

Past

June 25, 2007 - March 25, 2008

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

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

Alabama
(4/3/2019)

Alaska
(4/3/2019)

Arizona
(4/3/2019)

Arkansas
(4/3/2019)

California
(9/27/2018)

Colorado
(4/3/2019)

Connecticut
(4/3/2019)

Delaware
(4/3/2019)

District of Columbia
(4/3/2019)

Florida
(4/3/2019)

Georgia
(4/3/2019)

Hawaii
(4/3/2019)

Idaho
(4/3/2019)

Illinois
(4/3/2019)

Indiana
(4/3/2019)

Iowa
(4/3/2019)

Kansas
(4/3/2019)

Kentucky
(4/3/2019)

Louisiana
(4/3/2019)

Maine
(4/3/2019)

Maryland
(4/3/2019)

Massachusetts
(4/3/2019)

Michigan
(4/3/2019)

Minnesota
(4/3/2019)

Mississippi
(4/3/2019)

Missouri
(4/3/2019)

Montana
(4/3/2019)

Nebraska
(4/3/2019)

Nevada
(4/3/2019)

New Hampshire
(4/3/2019)

New Jersey
(4/3/2019)

New Mexico
(4/3/2019)

New York
(9/27/2018)

North Carolina
(4/3/2019)

North Dakota
(4/3/2019)

Ohio
(4/3/2019)

Oklahoma
(4/3/2019)

Oregon
(4/3/2019)

Pennsylvania
(4/3/2019)

Rhode Island
(4/3/2019)

South Carolina
(4/3/2019)

South Dakota
(4/3/2019)

Tennessee
(4/13/2021)

Texas
(4/3/2019)

Utah
(4/3/2019)

Vermont
(4/3/2019)

Virginia
(4/3/2019)

Washington
(4/3/2019)

West Virginia
(4/3/2019)

Wisconsin
(4/3/2019)

Wyoming
(4/3/2019)

Exams

State Security Law Exam

IAR

Series 66

Date: 10/14/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/4/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/21/2007

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

ALPS DISTRIBUTORS, INC. | MARINER FUNDS SERVICES INC. | ALPS SECURITIES, INC. | ALPS MUTUAL FUNDS SERVICES, INC.

CRD#: 16853 / SEC#: , 8-34626

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

Name	Position	CRD#
ALPS HOLDINGS, INC.	PARENT
KYLLO, STEPHEN JOHN	SVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER	3204474
NECKEL, TARA JILL	VP, DEPUTY CHIEF COMPLIANCE OFFICER	4051739
PARSONS, ERIC T	FINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER	5215115

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

Travis I. Printz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Travis Ian Printz's CRS (Customer Relationship Summary).

Certified licenses

Experience

MATRIX 360 DISTRIBUTORS, LLC

MATRIX CAPITAL GROUP, INC.

MATRIX CAPITAL GROUP, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

HRC FUND ASSOCIATES, LLC

QUASAR DISTRIBUTORS, LLC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/14/2011

Series 63

Date: 10/4/2010

SIE

Date: 10/1/2018

Series 7

Date: 6/21/2007

FINRA

Current Firm

ALPS DISTRIBUTORS, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ALPS DISTRIBUTORS, INC.

TRUST BUT VERIFY

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