DM
Denise L. Michaels
EMPOWER FINANCIAL SERVICES
Boulder City, NV
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CRD#: 1524746
DM
Professional summary
Denise Lynn Michaels, who also goes by Denise L Michaels, Denise L Mikowski, Denise Michaels, Denise L O'brien, Denise Lynn Obrien, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Boulder City, Nevada.
Denise is registered as a RR (Registered Representative) and started their career in finance in 1993. Denise has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Denise L Michaels | Denise L Mikowski | Denise Michaels | Denise L O'brien | Denise Lynn Obrien
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 Denise Lynn Michaels'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
July 23, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
Boulder City, NV
Past
February 25, 2020 - April 8, 2021
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
HENDERSON, NV
Past
January 1, 2008 - June 29, 2018
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
January 24, 2007 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
MARLBOROUGH, MA
Past
July 6, 2001 - October 24, 2005
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
January 27, 1998 - September 7, 1999
FORESIDE FUNDS DISTRIBUTORS LLC
BD
CRD#: 31334
PORTLAND, ME
Past
October 2, 1995 - June 26, 1996
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
July 8, 1993 - September 25, 1995
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 8, 1993 - September 25, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(7/23/2021)
RR
Alaska(7/23/2021)
RR
Arizona(7/23/2021)
RR
Arkansas(7/23/2021)
RR
California(7/23/2021)
RR
Colorado(7/23/2021)
RR
Connecticut(7/23/2021)
RR
Delaware(7/23/2021)
RR
District of Columbia(7/23/2021)
RR
Florida(7/23/2021)
RR
Georgia(7/23/2021)
RR
Hawaii(7/23/2021)
RR
Idaho(7/23/2021)
RR
Illinois(7/23/2021)
RR
Indiana(7/23/2021)
RR
Iowa(7/23/2021)
RR
Kansas(7/23/2021)
RR
Kentucky(7/23/2021)
RR
Louisiana(7/23/2021)
RR
Maine(7/23/2021)
RR
Maryland(7/23/2021)
RR
Massachusetts(7/23/2021)
RR
Michigan(7/23/2021)
RR
Minnesota(7/23/2021)
RR
Mississippi(7/23/2021)
RR
Missouri(7/23/2021)
RR
Montana(7/23/2021)
RR
Nebraska(7/23/2021)
RR
Nevada(7/23/2021)
RR
New Hampshire(7/23/2021)
RR
New Jersey(7/23/2021)
RR
New Mexico(7/23/2021)
RR
New York(7/23/2021)
RR
North Carolina(7/23/2021)
RR
North Dakota(7/23/2021)
RR
Ohio(7/26/2021)
RR
Oklahoma(7/23/2021)
RR
Oregon(7/23/2021)
RR
Pennsylvania(7/23/2021)
RR
Puerto Rico(7/23/2021)
RR
Rhode Island(7/23/2021)
RR
South Carolina(7/23/2021)
RR
South Dakota(7/23/2021)
RR
Tennessee(7/23/2021)
RR
Texas(7/23/2021)
RR
Utah(7/23/2021)
RR
Vermont(7/23/2021)
RR
Virginia(7/23/2021)
RR
Washington(7/23/2021)
RR
West Virginia(7/23/2021)
RR
Wisconsin(7/23/2021)
RR
Wyoming(7/23/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
