Jeannie L. Somsen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jeannie Lynne Somsen was a registered financial professional .
Jeannie is a previously registered financial professional and started their career in finance in 1993. Jeannie had worked at 15 firms and has passed the Series 63, Series 65, Series 6TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2022 - July 10, 2024
EMPOWER FINANCIAL SERVICES, INC.
August 24, 2017 - September 17, 2019
PROSSIMO ADVISORS LLC
October 4, 2016 - March 16, 2017
ONEDIGITAL
October 29, 2015 - May 31, 2016
CAPFINANCIAL SECURITIES, LLC.
October 27, 2015 - May 31, 2016
WORLD INVESTMENT ADVISORS, LLC
July 14, 2014 - September 18, 2015
KESTRA INVESTMENT SERVICES, LLC
July 11, 2014 - September 18, 2015
KESTRA INVESTMENT SERVICES, LLC
January 3, 2013 - November 18, 2013
SYMETRA SECURITIES, INC.
April 8, 2009 - August 10, 2012
M HOLDINGS SECURITIES, INC.
September 25, 2000 - July 17, 2008
BLACKROCK FUND ADVISORS
August 2, 2000 - July 17, 2008
BLACKROCK EXECUTION SERVICES
March 30, 1999 - July 24, 2000
WELLS FARGO SECURITIES INC.
January 1, 1997 - July 24, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 7, 1994 - January 1, 1997
PRUCO SECURITIES, LLC.
November 2, 1993 - October 4, 1995
PRUDENTIAL MUTUAL FUND DISTRIBUTORS, INC.
April 20, 1993 - July 28, 1993
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 2/24/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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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