Alpine Wealth Advisors, Llc

Allegations: FAILURE TO RENEW INVESTMENT ADVISER REPRESENTATIVE LICENSES; FAILURE TO MAINTAIN REQUIRED BOOKS AND RECORDS, FILE ANNUAL UPDATING AMENDMENTS AND TIMELY PROVIDE BOOKS AND RECORDS TO EXAMINATION STAFF. Status: Final Sanction Detail: COMPLY WITH ACTION REQUESTED, RETAIN COMPLIANCE CONSULTANT FOR TWO YEARS. Summary: FAILURE TO RENEW INVESTMENT ADVISER REPRESENTATIVE LICENSES; FAILURE TO MAINTAIN REQUIRED BOOKS AND RECORDS, FILE ANNUAL UPDATING AMENDMENTS AND TIMELY PROVIDE BOOKS AND RECORDS TO EXAMINATION STAFF DURING AN EXAMINATION OF THE FIRM IN 2021.

Allegations: FAILED TO MATERIALLY COMPLY WITH NOVEMBER 2021 ORDER NO. 2021-CDS-028. FAILED TO RETAIN A COMPLIANCE CONSULTANT, APPROVED BY THE DIVISION FOR A PERIOD OF TWO (2) YEARS TO ENSURE COMPLIANCE WITH A 2021 EXAM DEFICIENCY LETTER, FAILED TO TIMELY FILE AND UPDATE DISCLOSURE DOCUMENTS, AND FAILED TO REVIEW AND DEVELOP ALL REQUIRED POLICIES AND PROCEDURES. Status: Final Sanction Detail: THE RESPONDENTS SHALL MEET WITH THE COMPLIANCE CONSULTANT AT A MINIMUM OF TWO (2) HOURS PER MONTH FOR A PERIOD OF TWO (2) YEARS. THE MEETINGS, AT A MINIMUM, MUST INCLUDE CONSTRUCTING A COMPREHENSIVE COMPLIANCE PROGRAM, IMPLEMENTING AN ANNUAL COMPLIANCE CALENDAR, AND ENSURING THAT THE FIRM IS ON TRACK TO COMPLY WITH THE COLORADO SECURITIES ACT AND RULES THEREUNDER. RESPONDENTS SHALL RETAIN NOTES OF THE TOPICS COVERED EVERY MONTH WITH THE COMPLIANCE CONSULTANT DURING MEETINGS. Summary: STIPULATION AND CONSENT ORDER ENTERED; FIRM DID NOT DISCLOSURE MATERIAL EVENTS, FILE DISCLOSURE DOCUMENTS AND OTHER BOOKS AND RECORDS VIOLATIONS STEMMING FROM AN EXAMINATION DEFICIENCY LETTER IN SEPTEMBER OF 2021.