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Paul Marino

ALPS DISTRIBUTORS
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 5005271
PM

Professional summary

Paul Marino is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Greenwich, Connecticut.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2006. Paul has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 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 Paul Marino'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, 2024 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 34 East Putnam Avenue Suite 112, Greenwich, CT 06830
BD
CRD#: 16853
Greenwich, CT
Past

October 3, 2023 - August 16, 2024

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
New York, NY
Past

December 22, 2020 - June 26, 2023

ALLIANZ LIFE FINANCIAL SERVICES, LLC

BD
CRD#: 612
MINNEAPOLIS, MN
Past

October 17, 2017 - March 22, 2019

RUSSELL INVESTMENTS

RIA
CRD#: 105734
Madison, CT
Past

October 17, 2017 - March 22, 2019

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC

BD
CRD#: 21771
Madison, CT
Past

October 27, 2014 - August 3, 2017

AMUNDI PIONEER INSTITUTIONAL ASSET MANAGEMENT, INC.

RIA
CRD#: 138756
BOSTON, MA
Past

October 11, 2014 - August 3, 2017

AMUNDI DISTRIBUTOR US, INC.

BD
CRD#: 24497
Madison, CT
Past

May 12, 2010 - February 5, 2014

MDT ADVISERS, A DIVISION OF FEDERATED MDTA LLC

RIA
CRD#: 109355
BOSTON, MA
Past

November 11, 2009 - February 5, 2014

FEDERATED SECURITIES CORP.

RIA
CRD#: 5009
PITTSBURGH, PA
Past

February 12, 2008 - February 5, 2014

FEDERATED INVESTMENT COUNSELING

RIA
CRD#: 105325
PITTSBURGH, PA
Past

June 8, 2007 - February 5, 2014

FEDERATED SECURITIES CORP.

BD
CRD#: 5009
PITTSBURGH, PA
Past

March 30, 2006 - May 30, 2007

NYLIFE SECURITIES LLC

BD
CRD#: 5167
RYE, NY

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
Connecticut
(9/27/2024)
RR
New York
(9/27/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/11/2008
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/4/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/13/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/29/2006
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/29/2016
General Securities Principal 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)
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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)

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#: 16853Greenwich, CT 06830

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