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TS

Theodore C. Segal

ALPS DISTRIBUTORS
New York, NY 10022
Some features on this profile are disabled
CRD#: 5113549
TS

Professional summary

Theodore Charles Segal, who also goes by Theodore Charles Segal, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in New York, New York.

Theodore is registered as a RR (Registered Representative) and started their career in finance in 2006. Theodore has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Theodore Charles Segal

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 Theodore Charles Segal'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

November 2, 2020 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 650 Madison Avenue 3rd Floor, New York, NY 10022
BD
CRD#: 16853
New York, NY
Past

October 1, 2007 - October 30, 2020

RESOURCE SECURITIES LLC

BD
CRD#: 133022
PHILADELPHIA, PA
Past

July 28, 2006 - August 13, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
CONSHOHOCKEN, PA
Past

July 28, 2006 - August 13, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
CONSHOHOCKEN, PA

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
Alabama
(11/3/2020)
RR
Alaska
(11/3/2020)
RR
Arizona
(11/3/2020)
RR
Arkansas
(11/3/2020)
RR
California
(11/3/2020)
RR
Colorado
(11/3/2020)
RR
Connecticut
(11/3/2020)
RR
Delaware
(11/3/2020)
RR
District of Columbia
(11/3/2020)
RR
Florida
(11/3/2020)
RR
Georgia
(11/3/2020)
RR
Hawaii
(11/3/2020)
RR
Idaho
(11/3/2020)
RR
Illinois
(11/3/2020)
RR
Indiana
(11/3/2020)
RR
Iowa
(11/3/2020)
RR
Kansas
(11/3/2020)
RR
Kentucky
(11/3/2020)
RR
Louisiana
(11/3/2020)
RR
Maine
(11/3/2020)
RR
Maryland
(11/3/2020)
RR
Massachusetts
(11/3/2020)
RR
Michigan
(11/3/2020)
RR
Minnesota
(11/3/2020)
RR
Mississippi
(11/3/2020)
RR
Missouri
(11/3/2020)
RR
Montana
(11/3/2020)
RR
Nebraska
(11/3/2020)
RR
Nevada
(11/3/2020)
RR
New Hampshire
(11/3/2020)
RR
New Jersey
(11/3/2020)
RR
New Mexico
(11/3/2020)
RR
New York
(11/3/2020)
RR
North Carolina
(11/3/2020)
RR
North Dakota
(11/3/2020)
RR
Ohio
(11/3/2020)
RR
Oklahoma
(11/3/2020)
RR
Oregon
(11/3/2020)
RR
Pennsylvania
(11/2/2020)
RR
Puerto Rico
(11/3/2020)
RR
Rhode Island
(11/3/2020)
RR
South Carolina
(11/3/2020)
RR
South Dakota
(11/3/2020)
RR
Tennessee
(11/3/2020)
RR
Texas
(11/3/2020)
RR
Utah
(11/3/2020)
RR
Vermont
(11/3/2020)
RR
Virginia
(11/3/2020)
RR
Washington
(11/3/2020)
RR
West Virginia
(11/3/2020)
RR
Wisconsin
(11/3/2020)
RR
Wyoming
(11/3/2020)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/30/2006
Uniform Combined 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: 7/27/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/27/2017
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#: 16853New York, NY 10022

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