Sean M. Anderson
Professional summary
Sean Michael Anderson is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Scottsdale, Arizona.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2012. Sean has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 99 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Michael Anderson's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 7, 2023 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 6710 E. Camelback Suite 100, Scottsdale, AZ 85251October 26, 2020 - September 6, 2023
FORESIDE FINANCIAL SERVICES, LLC
March 28, 2017 - September 22, 2020
ASCENDANT ALTERNATIVE STRATEGIES, LLC
January 6, 2014 - March 29, 2017
AXIOM CAPITAL MANAGEMENT, INC.
December 17, 2013 - January 8, 2014
TD AMERITRADE, INC.
October 17, 2012 - June 26, 2013
WFG INVESTMENTS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(11/16/2023)
(9/26/2023)
(9/13/2023)
(10/23/2023)
(9/7/2023)
(9/12/2023)
(9/7/2023)
(9/27/2023)
(9/13/2023)
(9/8/2023)
(9/11/2023)
(3/5/2024)
(9/7/2023)
(10/18/2023)
(9/8/2023)
(9/8/2023)
(9/8/2023)
(9/18/2023)
(9/12/2023)
(9/11/2023)
(9/8/2023)
(9/11/2023)
(9/11/2023)
(9/8/2023)
(9/13/2023)
(10/11/2023)
(9/11/2023)
(9/7/2023)
(9/13/2023)
(9/8/2023)
(9/8/2023)
(9/8/2023)
(9/9/2023)
(9/13/2023)
(9/11/2023)
(9/8/2023)
(9/11/2023)
(10/4/2023)
(9/15/2023)
(9/11/2023)
(9/11/2023)
(9/11/2023)
(9/12/2023)
(9/7/2023)
(9/8/2023)
(9/18/2023)
(9/8/2023)
(9/8/2023)
(9/14/2023)
(9/12/2023)
(9/8/2023)
Exams
Series 99TO
Date: 9/7/2023
Operations Professional ExaminationFINRA
Current Firm
ALPS DISTRIBUTORS, INC.
CRD#: 16853 / SEC#: , 8-34626
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
Red Flags
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