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EP

Eric T. Parsons

ALPS DISTRIBUTORS
Denver, CO 80203
Some features on this profile are disabled
CRD#: 5215115
EP

Professional summary

Eric T Parsons is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Denver, Colorado and ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. located in Denver, Colorado.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2010. Eric has worked at 2 firms and has passed the SIE, Series 99TO and Series 27 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 Eric T Parsons'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

May 3, 2010 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203
BD
CRD#: 16853
Denver, CO
Current

September 8, 2014 - Present

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

Office #1: 1290 Broadway Suite 1000, Denver, CO 80203
BD
CRD#: 144464
Denver, CO

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
Colorado
(5/3/2010)

Exams

General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
Principal/Supervisory Exam
RR
Series 27
Date: 5/1/2010
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AP
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
ALPS PORTFOLIO SOLUTIONS | FTAM FUNDS DISTRIBUTOR, INC. | ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

CRD#: 144464 / SEC#: , 8-67659

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 03/19/2007
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# 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
DOLAN, DANIEL PATRICK MR.SENIOR VP; DIRECTOR OF WEALTH MANAGEMENT1320273
IRELAND, KEVIN JSENIOR VP, DIRECTOR OF INSTITUTIONAL SALES1331960
KYLLO, STEPHEN JOHNSVP; PRESIDENT; DIRECTOR; CHIEF COMPLIANCE OFFICER; PRINCIPAL OPERATIONS OFFICER3204474
PARSONS, ERIC TFINOP, CONTROLLER, PRINCIPAL FINANCIAL OFFICER5215115
WELLEN, ALECIA DAWNVP, CHIEF COMPLIANCE OFFICER4846551

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 PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

CRD#: 144464Denver, CO 80203

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