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AR

Alexander J. Rossi

ALPS DISTRIBUTORS
Greenwich, CT 06830
Some features on this profile are disabled
CRD#: 6491819
AR

Professional summary

Alexander James Rossi, who also goes by Alex Rossi, Alexander J Rossi, is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Greenwich, Connecticut.

Alexander is registered as a RR (Registered Representative) and started their career in finance in 2015. Alexander has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alex Rossi | Alexander J Rossi

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 Alexander James Rossi'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

October 15, 2024 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 34 East Putnam Avenue Suite 112, Greenwich, CT 06830
BD
CRD#: 16853
Greenwich, CT
Past

December 3, 2019 - October 3, 2024

FIRST TRUST ADVISORS LP

RIA
CRD#: 107027
LOS ANGELES, CA
Past

December 3, 2019 - July 3, 2024

FIRST TRUST PORTFOLIOS L.P.

BD
CRD#: 28519
WHEATON, IL
Past

May 16, 2019 - December 6, 2019

HARRISDIRECT LLC

RIA
CRD#: 42159
San Diego, CA
Past

May 1, 2019 - December 6, 2019

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SAN DIEGO, CA
Past

February 14, 2017 - August 2, 2018

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

January 4, 2017 - February 9, 2017

NUVEEN ASSET MANAGEMENT, LLC

RIA
CRD#: 155584
Chicago, IL
Past

August 9, 2016 - February 9, 2017

NUVEEN SECURITIES, LLC

BD
CRD#: 469
CHICAGO, IL
Past

June 6, 2015 - June 20, 2016

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO

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
Alabama
(1/2/2025)
RR
Arkansas
(1/2/2025)
RR
California
(10/15/2024)
RR
Georgia
(1/2/2025)
RR
Illinois
(1/2/2025)
RR
Indiana
(1/2/2025)
RR
Iowa
(1/2/2025)
RR
Kansas
(1/2/2025)
RR
Kentucky
(1/2/2025)
RR
Louisiana
(1/2/2025)
RR
Michigan
(1/2/2025)
RR
Mississippi
(1/2/2025)
RR
Missouri
(1/2/2025)
RR
Nebraska
(1/2/2025)
RR
Ohio
(1/2/2025)
RR
South Carolina
(1/2/2025)
RR
Tennessee
(1/2/2025)
RR
Wisconsin
(1/2/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/16/2019
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/28/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/11/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 6/6/2015
Investment Company Products/Variable Contracts Representative 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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

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.

Company Information

ALPS DISTRIBUTORS, INC.

CRD#: 16853Greenwich, CT 06830

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