RB
Richard E. Baker
ALPS ADVISORS
Denver, CO 80203
Some features on this profile are disabled
CRD#: 6338957
RB
Professional summary
Richard Edward Baker is a registered financial advisor currently at ALPS ADVISORS, INC. located in Denver, Colorado and ALPS DISTRIBUTORS, INC. located in Denver, Colorado.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Richard has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. SECURE64 SOFTWARE CORP. 2900 S COLLEGE AVE #2A FORT COLLINS CO 80525, BUSINESS IS NOT INVESTMENT RELATED, DIRECTOR, 1 HRS/MON, NONE DURING TRADING HRS. 2. GLENMARY PARTNERS, INVESTMENT RELATED, 2750 S HIGH STREET DENVER CO 80210, REAL ESTATE INVESTMENTS, PARTNER, 16 HRS/MON, NONE DURING TRADING HRS. 3. ALPS ADVISORS INC, INVESTMENT-RELATED, RIA, DIRECTOR OF RESEARCH, 07/2023, 160 HRS/MON, 130 HRS/MON DURING TRADING HOURS, PROVIDE INVESTMENT RESEARCH, EDUCATE SALES TEAM, PROVIDE SALES MATERIALS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Edward Baker'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®
NoneExperience
Current
August 3, 2023 - Present
ALPS ADVISORS, INC.
Office #1: 1290 Broadway, Suite 1000, Denver, CO 80203RIA
CRD#: 134340
Denver, CO
Current
January 2, 2019 - Present
ALPS DISTRIBUTORS, INC.
Office #1: 1290 Broadway Suite 1000, Denver, CO 80203BD
CRD#: 16853
Denver, CO
Past
January 4, 2016 - December 31, 2018
ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.
BD
CRD#: 144464
DENVER, CO
Past
July 9, 2014 - December 31, 2015
ALPS DISTRIBUTORS, INC.
BD
CRD#: 16853
GOLDEN, CO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AA
ALPS ADVISORS, INC.
ALPS ADVISERS, INC. | ALPS ADVISORS, INC.
CRD#: 134340 / SEC#: 801-67135
RIA
Registered Investment Advisory firm - (9/12/2006 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(1/2/2019)
RR
Alaska(1/2/2019)
RR
Arizona(1/2/2019)
RR
Arkansas(1/2/2019)
RR
California(1/2/2019)
RR
Colorado(1/2/2019)
IAR
Colorado(8/3/2023)
RR
Connecticut(1/2/2019)
RR
Delaware(1/2/2019)
RR
District of Columbia(1/2/2019)
RR
Florida(1/2/2019)
RR
Georgia(1/2/2019)
RR
Hawaii(1/2/2019)
RR
Idaho(1/2/2019)
RR
Illinois(1/2/2019)
RR
Indiana(1/2/2019)
RR
Iowa(1/2/2019)
RR
Kansas(1/2/2019)
RR
Kentucky(1/2/2019)
RR
Louisiana(1/2/2019)
RR
Maine(1/2/2019)
RR
Maryland(1/2/2019)
RR
Massachusetts(1/2/2019)
RR
Michigan(1/2/2019)
RR
Minnesota(1/2/2019)
RR
Mississippi(1/2/2019)
RR
Missouri(1/2/2019)
RR
Montana(1/2/2019)
RR
Nebraska(1/2/2019)
RR
Nevada(1/2/2019)
RR
New Hampshire(1/2/2019)
RR
New Jersey(1/2/2019)
RR
New Mexico(1/2/2019)
RR
New York(1/2/2019)
RR
North Carolina(1/2/2019)
RR
North Dakota(1/2/2019)
RR
Ohio(1/3/2019)
RR
Oklahoma(1/2/2019)
RR
Oregon(1/2/2019)
RR
Pennsylvania(1/2/2019)
RR
Rhode Island(1/2/2019)
RR
South Carolina(1/2/2019)
RR
South Dakota(1/2/2019)
RR
Tennessee(1/2/2019)
RR
Texas(1/2/2019)
RR
Utah(1/2/2019)
RR
Vermont(1/2/2019)
RR
Virginia(1/2/2019)
RR
Washington(1/2/2019)
RR
West Virginia(1/2/2019)
RR
Wisconsin(1/2/2019)
RR
Wyoming(1/2/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AA
ALPS ADVISORS, INC.
ALPS ADVISERS, INC. | ALPS ADVISORS, INC.
CRD#: 134340 / SEC#: 801-67135
RIA
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Contact information
Main Address
1290 Broadway, Suite 1000, Denver, CO 80203
Mailing Address
Po Box 328, Denver, CO 80201-0328
Phone number
(303) 623-2577
Established
Firm type
Fiscal year end
# of Employees
74
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.
