Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Erik? Claim Your ProfileErik Edward Whipple is a securities professional with over 15 years of experience in the financial services industry. Erik is currently registered with Alps Distributors, Inc. in Denver, Colorado. Erik's professional experience includes roles at Guardian Investor Services LLC, Janus Distributors LLC, and Invesco Distributors, Inc. Erik holds FINRA Series 6, 7TO, and 63 licenses and the SIE exam. Erik is also registered in Colorado as an Investment Advisor Representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
CO
02/03/2020 - Present
Alps Distributors, Inc. (DENVER CO)
NY
07/29/2008 - 02/12/2013
GUARDIAN INVESTOR SERVICES LLC (NEW YORK NY)
CO
10/30/2003 - 03/06/2008
JANUS DISTRIBUTORS LLC (DENVER CO)
TX
11/01/1999 - 07/10/2003
INVESCO DISTRIBUTORS, INC. (HOUSTON TX)
GA
01/01/1999 - 10/05/1999
INVESCO SERVICES, INC. (ATLANTA GA)
TX
04/21/1997 - 01/01/1999
INVESCO DISTRIBUTORS, INC. (HOUSTON TX)
BC
Issued 03/02/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/01/2020
Series 7TO - General Securities Representative Examination
BC
Issued 08/23/2019
SIE - Securities Industry Essentials Examination
BC
Issued 02/25/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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