Linda C. Carley
Professional summary
Linda Cook Carley, who also goes by Linda Jean Cook, Linda Jean Cook, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Overland Park, Kansas.
Linda is registered as a RR (Registered Representative) and started their career in finance in 1986. Linda has worked at 15 firms and has passed the Series 63, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Linda Cook Carley's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 27, 2016 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 11501 Outlook Street Suite 400, Overland Park, KS 66211January 13, 2009 - January 5, 2010
NORTHERN FUNDS DISTRIBUTORS, LLC
July 17, 2008 - January 5, 2010
FORESIDE ASSOCIATES, LLC
February 21, 2008 - January 5, 2010
PROFUNDS DISTRIBUTORS, INC.
September 25, 2006 - July 16, 2007
FTFD FUND DISTRIBUTOR, INC.
September 25, 2006 - January 5, 2010
BD COMPLIANCE SOLUTIONS, LLC
September 25, 2006 - January 5, 2010
FUNDS DISTRIBUTOR, LLC
September 11, 2006 - July 16, 2007
BFD DISTRIBUTOR, INC.
September 11, 2006 - October 1, 2007
HEARTLAND INVESTOR SERVICES, LLC
September 11, 2006 - November 29, 2007
CITI DISTRIBUTION SERVICES, INC.
September 11, 2006 - December 4, 2007
VICTORY CAPITAL SERVICES, INC.
September 11, 2006 - January 25, 2008
PROFUNDS DISTRIBUTORS, INC.
September 11, 2006 - January 5, 2010
IMST DISTRIBUTORS, LLC
August 16, 2006 - January 5, 2010
FORESIDE INVESTMENT SERVICES, LLC
November 4, 2004 - January 5, 2010
FORESIDE DISTRIBUTION SERVICES, L.P.
September 26, 1986 - September 8, 2004
STATE STREET RESEARCH INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/22/2016)
Exams
FINRA
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
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