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CJ

Colin D. James

ALPS DISTRIBUTORS
Chicago, IL 60661
CRD#: 8240160
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CJ
Colin Douglas JamesALPS DISTRIBUTORS

Professional summary

Colin Douglas James is a registered financial professional currently at ALPS DISTRIBUTORS, INC. located in Chicago, Illinois.

Colin is registered as a RR (Registered Representative) and started their career in finance in 2026. Colin has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.

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) - BD

Click below to view Colin Douglas James'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

May 8, 2026 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 500 W. Madison Street Suite 500, Chicago, IL 60661
BD
CRD#: 16853
Chicago, IL

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
Alaska
(5/11/2026)
RR
Colorado
(5/11/2026)
RR
Idaho
(5/11/2026)
RR
Illinois
(5/11/2026)
RR
Montana
(5/11/2026)
RR
North Dakota
(5/11/2026)
RR
Oregon
(5/11/2026)
RR
South Dakota
(5/11/2026)
RR
Utah
(5/11/2026)
RR
Washington
(5/11/2026)
RR
Wyoming
(5/11/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 3/28/2026
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/8/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/29/2025
Securities Industry Essentials 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)

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

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Company Information

ALPS DISTRIBUTORS, INC.

CRD#: 16853Chicago, IL 60661

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