Medallion Distribution

ALPS Distributors, Inc. (Member FINRA, www.finra.org) effectively and efficiently processes the extensive volume of advertising and licensing materials we administer on a daily basis for our clients.

Services

• Act as fund’s legal Underwriter/Distributor
• Review all distribution-related documents and contracts
• Provide registered representative administration including:
  • Oversee obtaining/maintaining required FINRA licenses
  • Coordinate and communicate educational requirements
  • Provide supervisory procedures and support
• Review and file all marketing materials with the FINRA
  • Consult on development of FINRA compliant marketing campaigns
• Prepare, execute and monitor selling agreements in an electronic environment