Sonya M. Dean
Professional summary
Sonya Mae Dean, who also goes by Sonya Mae Dean Clu, Sonya Munford Dean, Sonya Dean, Sonya Mae Munford, Sonya Mae Schley, Sonya Munford Schley, Sonya Schley, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Sonya is registered as a RR (Registered Representative) and started their career in finance in 1982. Sonya has worked at 12 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sonya Mae Dean's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111June 17, 2019 - January 4, 2021
MML INVESTORS SERVICES, LLC
September 20, 2010 - July 17, 2015
1851 SECURITIES, INC
February 4, 2009 - September 20, 2010
AXCELUS FINANCIAL DISTRIBUTION COMPANY
December 17, 1999 - February 4, 2009
VP DISTRIBUTORS LLC
March 24, 1997 - December 20, 1999
WS GRIFFITH SECURITIES, INC.
March 18, 1994 - June 4, 1996
CONSECO SECURITIES, INC.
November 11, 1992 - February 16, 1994
MML INVESTORS SERVICES, LLC
August 24, 1990 - June 24, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 24, 1990 - June 24, 1992
SIGNATOR INVESTORS, INC.
September 8, 1989 - August 8, 1990
HARTFORD FINANCIAL GROUP, INC.
June 12, 1989 - September 19, 1989
THOMSON MCKINNON SECURITIES INC.
February 26, 1982 - June 28, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 6TO
Date: 6/17/2019
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109 / SEC#: , 8-33854
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EMPOWER ANNUITY INSURANCE COMPANY OF AMERICA | SHAREHOLDER | |
| BARRES, STEPHANIE | COMPLIANCE OFFICER | 2203746 |
| BRETON, HUGO | BOARD DIRECTOR | 8128232 |
| CHRISTOLINI, JOHN | CHIEF COMPLIANCE OFFICER | 4141296 |
| COCHRAN, SHANNON MARIE | COMPLIANCE OFFICER | 4948393 |
| CORDISCO, MEREDITH | VP, COMPLIANCE | 8189199 |
| CRAIG, CASEY R | SENIOR VICE PRESIDENT | 4680712 |
| ETTINGER, ROBERT DANIEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER | 5593259 |
| HUDSON, BROCKETT RICE | ASSISTANT SECRETARY | 6520983 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT AND DIRECTOR | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| MORRISON, DANIEL ARTHUR | SENIOR VICE PRESIDENT | 4078410 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
