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Richard Lynham Platt

Alps Distributors, Inc.

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About Richard Lynham Platt

Richard Platt is a financial professional with over two decades of experience in the industry. Richard is currently a registered representative with Alps Distributors, Inc. and previously worked with ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC., ALPS DISTRIBUTORS, INC., TRANSAMERICA CAPITAL, INC., OPPENHEIMERFUNDS DISTRIBUTOR, INC., and CHARLES SCHWAB & CO., INC. Richard holds several licenses including Series 66, 63, 24, 26, SIE, and 7. Richard has been registered in 51 states.

Firm Information

Richard Platt 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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Richard Platt’s Registration & Firm History

CO

01/02/2019 - Present

Alps Distributors, Inc. (DENVER CO)

CO

01/02/2015 - 12/31/2018

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC. (DENVER CO)

CO

08/22/2014 - 12/31/2014

ALPS DISTRIBUTORS, INC. (DENVER CO)

CO

09/23/2004 - 08/14/2014

TRANSAMERICA CAPITAL, INC. (DENVER CO)

NY

09/09/2002 - 08/05/2004

OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)

TX

12/18/2000 - 12/03/2001

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

BOTH

Issued 08/20/2008

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/29/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/11/2015

Series 24 - General Securities Principal Examination

BC

Issued 01/29/2007

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/15/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Lynham Platt.
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