Exchange Traded Funds (ETFs)

Shortly after the first Exchange Traded Fund (“ETF”) was introduced on the American Stock Exchange in 1993, ALPS ventured to be one of the first to actively market ETFs and ETF strategies to the financial advisor community.  The knowledge and experience of the ALPS ETF sales team has contributed to some of the fastest asset growth in the ETF industry.

Services

• Shareholder servicing via toll-free telephone support
• Medallion Distribution services, including:
  • Act as legal Underwriter/Distributor
  • Provide FINRA advertising review and filing
  • Oversee registration and licensing of sales personnel
  • Process and approve share creation with Transfer Agent
• Execute and maintain authorized participant agreements
• Oversee administration of 12b-1 plan, if applicable
• Develop and manage production of marketing materials and other marketing projects