Daniel A. Williams

ALPS DISTRIBUTORS

Baltimore, MD 21231

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CRD#: 5253354

Professional summary

Daniel Akil Williams, who also goes by Dan Williams, Daniel Williams, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Baltimore, Maryland.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 2007. Daniel has worked at 8 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dan Williams | Daniel Williams

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.

(1) Responsible Alpha; Board Member; Sustainability consulting; 09/2023; approx 1-2 hours per month - no time devoted during normal securities trading hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Akil Williams'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

February 22, 2024 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 901 S Bond Street Suite 400, Baltimore, MD 21231

CRD#: 16853

Baltimore, MD

Past

January 3, 2022 - February 20, 2024

T. ROWE PRICE ASSOCIATES, INC.

RIA

CRD#: 105496

Owings Mills, MD

Past

September 24, 2021 - February 20, 2024

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

OWINGS MILLS, MD

Past

April 20, 2015 - December 31, 2015

CALVERT INVESTMENT DISTRIBUTORS, INC.

CRD#: 37527

BETHESDA, MD

Past

September 17, 2010 - August 16, 2013

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

Past

December 22, 2008 - September 7, 2010

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA

CRD#: 105790

DOWNERS GROVE, IL

Past

August 28, 2007 - September 7, 2010

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

DOWNERS GROVE, IL

Past

January 23, 2007 - April 10, 2007

EQUITABLE ADVISORS, LLC

CRD#: 6627

WELLESLEY, MA

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

California
(2/22/2024)

Maryland
(2/22/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 12/29/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/24/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/21/2021

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/22/2007

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

Daniel A. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Daniel Akil Williams's CRS (Customer Relationship Summary).

Certified licenses

Experience

T. ROWE PRICE ASSOCIATES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

CALVERT INVESTMENT DISTRIBUTORS, INC.

DWS DISTRIBUTORS, INC.

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

JOHN HANCOCK DISTRIBUTORS LLC

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/29/2021

Series 7TO

Date: 9/24/2021

SIE

Date: 9/21/2021

Series 7

Date: 1/22/2007

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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