JF
Joseph L. Fein
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
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CRD#: 1649342
JF
Professional summary
Joseph Lawrence Fein, who also goes by Joe Fein, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 1987. Joseph has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Joe Fein
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 Joseph Lawrence Fein'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
April 4, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
October 9, 2003 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
Newark, NJ
Past
January 20, 1997 - November 2, 1998
SEDGWICK INVESTMENTS, INC.
BD
CRD#: 35045
WASHINGTON, DC
Past
June 17, 1996 - December 9, 1998
WALL STREET ACCESS
BD
CRD#: 10012
NEW YORK, NY
Past
September 13, 1990 - September 26, 1991
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
June 3, 1987 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
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(4/4/2022)
RR
Alaska(4/4/2022)
RR
Arizona(4/4/2022)
RR
Arkansas(4/4/2022)
RR
California(4/4/2022)
RR
Colorado(4/4/2022)
RR
Connecticut(4/4/2022)
RR
Delaware(4/4/2022)
RR
District of Columbia(4/4/2022)
RR
Florida(4/5/2022)
RR
Georgia(4/4/2022)
RR
Hawaii(4/4/2022)
RR
Idaho(4/4/2022)
RR
Illinois(4/4/2022)
RR
Indiana(4/4/2022)
RR
Iowa(4/4/2022)
RR
Kansas(4/4/2022)
RR
Kentucky(4/4/2022)
RR
Louisiana(4/4/2022)
RR
Maine(4/4/2022)
RR
Maryland(4/4/2022)
RR
Massachusetts(4/4/2022)
RR
Michigan(4/4/2022)
RR
Minnesota(4/4/2022)
RR
Mississippi(4/4/2022)
RR
Missouri(4/4/2022)
RR
Montana(4/4/2022)
RR
Nebraska(4/4/2022)
RR
Nevada(4/4/2022)
RR
New Hampshire(4/4/2022)
RR
New Jersey(4/4/2022)
RR
New Mexico(4/4/2022)
RR
New York(4/4/2022)
RR
North Carolina(4/4/2022)
RR
North Dakota(4/4/2022)
RR
Ohio(4/4/2022)
RR
Oklahoma(4/4/2022)
RR
Oregon(4/4/2022)
RR
Pennsylvania(4/4/2022)
RR
Rhode Island(4/4/2022)
RR
South Carolina(4/4/2022)
RR
South Dakota(4/4/2022)
RR
Tennessee(4/4/2022)
RR
Texas(4/4/2022)
RR
Utah(4/4/2022)
RR
Vermont(4/4/2022)
RR
Virginia(4/4/2022)
RR
Washington(4/4/2022)
RR
West Virginia(4/4/2022)
RR
Wisconsin(4/4/2022)
RR
Wyoming(4/4/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
