Brian A. Williams

Some features on this profile are disabled

CRD#: 718755

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.

Brian Arthur Williams was a registered financial professional .

Brian is a previously registered financial professional and started their career in finance in 1980. Brian had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 16, 2013 - December 31, 2015

ALPS DISTRIBUTORS, INC.

CRD#: 16853

DENVER, CO

Past

March 7, 2003 - July 2, 2013

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

PARSIPPANY, NJ

Past

March 6, 2003 - July 2, 2013

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

September 3, 2002 - December 5, 2002

GOLDMAN SACHS & CO. LLC

RIA

CRD#: 361

CHICAGO, IL

Past

June 3, 1997 - December 5, 2002

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

October 2, 1992 - June 6, 1997

GT GLOBAL, INC.

CRD#: 19587

SAN FRANCISCO, CA

Past

February 21, 1991 - September 15, 1992

BNY MELLON SECURITIES CORPORATION

CRD#: 231

NEW YORK, NY

Past

January 30, 1990 - January 29, 1991

THE ADVISORS GROUP, INC.

CRD#: 14035

BETHESDA, MD

Past

March 29, 1982 - August 15, 1989

BALCOR SECURITIES COMPANY

CRD#: 6539

SKOKIE, IL

Past

November 13, 1980 - March 28, 1982

CHARTER SECURITIES CORPORATION

CRD#: 7062

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/30/2001

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/29/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/27/1990

General Securities Representative Examination

General Industry/Product Exam

Series 1

Date: 10/27/1980

Registered Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/20/1982

General Securities Principal Examination

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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brian A. Williams

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS & CO. LLC

GT GLOBAL, INC.

BNY MELLON SECURITIES CORPORATION

THE ADVISORS GROUP, INC.

BALCOR SECURITIES COMPANY

CHARTER SECURITIES CORPORATION

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2001

Series 63

Date: 8/29/1980

SIE

Date: 12/31/2015

Series 7

Date: 12/27/1990

Series 1

Date: 10/27/1980

Series 24

Date: 12/20/1982

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

Similar Advisors