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PB

Phillip S. Bennett

ALPS DISTRIBUTORS
Baltimore, MD 21231
Some features on this profile are disabled
CRD#: 5430973
PB

Professional summary

Phillip Steven Bennett, who also goes by Phil Bennett, Phillip Bennett, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Baltimore, Maryland.

Phillip is registered as a RR (Registered Representative) and started their career in finance in 2007. Phillip has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 3 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Phil Bennett | Phillip Bennett

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 Phillip Steven Bennett'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 21, 2026 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 901 S Bond Street Suite 400, Baltimore, MD 21231
BD
CRD#: 16853
Baltimore, MD
Past

September 14, 2022 - February 6, 2026

JENSEN INVESTMENT MANAGEMENT INC.

RIA
CRD#: 105281
Tiburon, CA
Past

August 22, 2022 - February 5, 2026

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

March 29, 2019 - August 10, 2022

THORNBURG INVESTMENT MANAGEMENT INC

RIA
CRD#: 106357
SANTA FE, NM
Past

June 8, 2018 - August 10, 2022

THORNBURG SECURITIES LLC

BD
CRD#: 14857
SANTA FE, NM
Past

April 26, 2013 - December 22, 2017

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
SAN FRANCISCO, CA
Past

February 3, 2012 - December 6, 2012

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

November 26, 2007 - January 18, 2012

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
BERKELEY, CA

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
California
(5/21/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/28/2019
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 3/26/2008
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: 11/23/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 7/2/2007
National Commodity Futures 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)

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

ALPS DISTRIBUTORS, INC.

CRD#: 16853Baltimore, MD 21231

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