Career
Matthew Sutula has been Chief Compliance Officer of Alps Advisors since November 2019. Matthew Sutula is a control person of the firm and directly owns under 5% of it. Matthew Sutula holds a JD from the University of Denver Sturm College of Law and a BA in Finance from Loyola University Chicago.
Alps Advisors, Inc. is a Denver, CO firm with $38.8B under management, 22 clients and 28 advisers across 2 offices, as of its September 2026 filing.
SS&C ALPS Advisors identifies Matt Sutula as Chief Compliance Officer and describes prior compliance and analyst roles.
No adviser firm registrations are on Matthew Sutula’s record.
Credentials and registrations
Professional designations
Listed by Alps Advisors and the sources below
- FINRA Series 3, 7, and 24 licenses
- Certified Financial Risk Manager
- Chartered Alternative Investment Analyst
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 3 | National Commodity Futures Examination | 3 July 2024 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 10 November 2014 |
| Series 7 | General Securities Representative Examination | 17 July 2013 |
- Name
- National Commodity Futures Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- General Securities Representative Examination
Individual record
- Full name
- Matthew Joseph Sutula
- CRD
- 6209373
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Matthew Sutula work?
Matthew Sutula has been Chief Compliance Officer of Alps Advisors, Inc. since November 2019, and is a control person of the firm.
Does Matthew Sutula have a current investment-adviser registration?
Matthew Sutula has a current broker registration and no current investment-adviser registration.
What exams has Matthew Sutula passed?
Matthew Sutula has passed 3 licensing exams: the Series 7, Series 24 and Series 3. The earliest, the Series 7, was passed in July 2013. FINRA credited Matthew Sutula with the SIE, which began in October 2018.