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Mark Vincent Spina

Alps Distributors, Inc.

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About Mark Vincent Spina

Mark Vincent Spina is a financial professional with over 27 years of experience in the industry. Mark is currently registered with Alps Distributors, Inc. in Bernardsville, NJ. Mark has held previous positions with Russell Investments Financial Services, LLC, Pioneer Funds Distributor, Inc., VOYA INVESTMENTS DISTRIBUTOR, LLC, ING INVESTMENT MANAGEMENT SERVICES LLC, ALLIANCE FUND DISTRIBUTORS, INC., FINANCIAL NETWORK INVESTMENT CORPORATION and LEHMAN BROTHERS INC.. Mark has also passed the Uniform Investment Adviser Law Examination and Uniform Securities Agent State Law Examination.

Firm Information

Mark Spina is currently registered with Alps Distributors, Inc.. Alps Distributors, Inc. is a Corporation that was formed on July 1, 1985. It is registered in 53 states and is also approved by the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

169

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Mark Spina’s Registration & Firm History

NJ

06/11/2020 - Present

Alps Distributors, Inc. (BERNARDSVILLE NJ)

NY

12/19/2016 - 03/11/2020

RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC (NEW YORK NY)

MA

02/03/2015 - 12/05/2016

PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)

NY

02/07/2008 - 01/05/2015

VOYA INVESTMENTS DISTRIBUTOR, LLC (NEW YORK NY)

NY

07/23/2001 - 03/03/2008

ING INVESTMENT MANAGEMENT SERVICES LLC (NEW YORK NY)

TN

06/07/2001 - 07/16/2001

ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)

TN

06/06/1994 - 04/24/2000

ALLIANCE FUND DISTRIBUTORS, INC. (NASHVILLE TN)

CA

01/29/1993 - 09/23/1993

FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)

NY

10/11/1992 - 01/01/1993

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 12/08/2000

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/20/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/14/2007

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/13/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Mark Vincent Spina.
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