Katie L. Erich

ALPS DISTRIBUTORS

Baltimore, MD 21231

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CRD#: 5504409

Professional summary

Katie Lynn Erich, CIMA®, who also goes by Katie Lynn Bock, Katie Bock, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Baltimore, Maryland.

Katie is registered as a RR (Registered Representative) and started their career in finance in 2008. Katie has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Katie Lynn Bock | Katie Bock

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 Katie Lynn Erich'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

January 18, 2024 - Present

ALPS DISTRIBUTORS, INC.

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

CRD#: 16853

Baltimore, MD

Past

March 8, 2019 - January 17, 2024

T. ROWE PRICE ASSOCIATES, INC.

RIA

CRD#: 105496

OWINGS MILLS, MD

Past

September 21, 2018 - March 5, 2019

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

OWings Mills, MD

Past

June 30, 2017 - January 17, 2024

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

OWINGS MILLS, MD

Past

August 31, 2016 - June 29, 2017

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

May 29, 2009 - March 25, 2014

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

4525 PAINTERS MILL ROAD, MD

Past

August 19, 2008 - August 29, 2016

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

OWINGS MILLS, MD

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
(1/19/2024)

Maryland
(1/22/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/18/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/2008

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

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

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Advisor Monitoring

Firm Stability Insights

Katie L. Erich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Katie Lynn Erich's CRS (Customer Relationship Summary).

Certified licenses

Experience

T. ROWE PRICE ASSOCIATES, INC.

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

ADP BROKER-DEALER, INC.

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/18/2018

SIE

Date: 10/1/2018

Series 7

Date: 8/18/2008

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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