SK
Stephen Keating
EMPOWER FINANCIAL SERVICES
Boston, MA 02110
Some features on this profile are disabled
CRD#: 1279957
SK
Professional summary
Stephen Keating, who also goes by Stephen Francis Keating, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Boston, Massachusetts.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1984. Stephen has worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephen Francis Keating
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Stephen Keating's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 20, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 100 Federal St 18th Floor, Boston, MA 02110BD
CRD#: 13109
Boston, MA
Past
October 19, 2015 - August 31, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BRAINTREE, MA
Past
January 1, 2008 - January 16, 2014
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BOSTON, MA
Past
November 2, 1988 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
MARLBOROUGH, MA
Past
January 6, 1987 - October 31, 1988
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
Past
July 23, 1986 - December 10, 1986
FIDELITY DISTRIBUTORS CORPORATION
BD
CRD#: 6848
Past
May 29, 1985 - April 29, 1986
UR FINANCIAL, INC.
BD
CRD#: 10509
Past
August 29, 1984 - April 25, 1985
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/20/2021)
RR
Alaska(10/20/2021)
RR
Arizona(10/20/2021)
RR
Arkansas(10/20/2021)
RR
California(10/20/2021)
RR
Colorado(10/20/2021)
RR
Connecticut(10/20/2021)
RR
Delaware(10/20/2021)
RR
District of Columbia(10/20/2021)
RR
Florida(10/20/2021)
RR
Georgia(10/20/2021)
RR
Hawaii(10/20/2021)
RR
Idaho(10/20/2021)
RR
Illinois(10/20/2021)
RR
Indiana(10/20/2021)
RR
Iowa(10/20/2021)
RR
Kansas(10/20/2021)
RR
Kentucky(10/20/2021)
RR
Louisiana(10/20/2021)
RR
Maine(10/20/2021)
RR
Maryland(10/20/2021)
RR
Massachusetts(10/20/2021)
RR
Michigan(10/20/2021)
RR
Minnesota(10/20/2021)
RR
Mississippi(10/20/2021)
RR
Missouri(10/20/2021)
RR
Montana(10/20/2021)
RR
Nebraska(10/20/2021)
RR
Nevada(10/20/2021)
RR
New Hampshire(10/20/2021)
RR
New Jersey(10/20/2021)
RR
New Mexico(10/20/2021)
RR
New York(10/20/2021)
RR
North Carolina(10/20/2021)
RR
North Dakota(10/20/2021)
RR
Ohio(10/21/2021)
RR
Oklahoma(10/20/2021)
RR
Oregon(10/20/2021)
RR
Pennsylvania(10/20/2021)
RR
Puerto Rico(10/20/2021)
RR
Rhode Island(10/20/2021)
RR
South Carolina(10/20/2021)
RR
South Dakota(10/20/2021)
RR
Tennessee(10/20/2021)
RR
Texas(10/20/2021)
RR
Utah(10/20/2021)
RR
Vermont(10/20/2021)
RR
Virginia(10/20/2021)
RR
Washington(10/20/2021)
RR
West Virginia(10/20/2021)
RR
Wisconsin(10/20/2021)
RR
Wyoming(10/20/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
EF
EMPOWER FINANCIAL SERVICES, INC.
AMERICAN CAPITAL PLANNING, INC. | MAZER, HOWARD BARRY | GWFS EQUITIES, INC. | EMPOWER FINANCIAL SERVICES, INC. | BENEFITSCORP EQUITIES, INC. | BENEFITS COMMUNICATION CORPORATION
CRD#: 13109 / SEC#: , 8-33854
BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information
Main Address
8515 E Orchard Road, Greenwood Village, CO 80111
Mailing Address
8525 East Orchard Road 2t3, Greenwood Village, CO, 80111-5002
Phone number
(303) 737-2657
Established
Delaware since 10/12/1984
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
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.
Company Information
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109Boston, MA 02110TRUST BUT VERIFY
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