Steve B. Price
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steve Bennett Price was a registered financial professional .
Steve is a previously registered financial professional and started their career in finance in 2008. Steve had worked at 3 firms and has passed the Series 66, Series 7TO, Series 99TO, SIE, Series 7, Series 14 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2010 - April 3, 2020
ALPS ADVISORS, INC.
February 3, 2010 - April 3, 2020
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
October 9, 2008 - April 3, 2020
ALPS DISTRIBUTORS, INC.
Primary Firm SEC Registration
ALPS ADVISORS, INC.
CRD#: 134340 / SEC#: 801-67135
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/22/2022
General Securities Representative ExaminationSeries 99TO
Date: 12/22/2022
Operations Professional ExaminationCurrent Firm
ALPS ADVISORS, INC.
CRD#: 134340 / SEC#: 801-67135
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 17 |
| AUM (Assets Under Management) | $ 30,756,201,205 |
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.
