LM
Leigh E. Mannix
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 1675382
LM
Professional summary
Leigh Ellen Mannix, who also goes by Dede E Mannix, Dede Mannix, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Leigh is registered as a RR (Registered Representative) and started their career in finance in 1987. Leigh has worked at 10 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dede E Mannix | Dede Mannix
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 Leigh Ellen Mannix'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
February 12, 2015 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
March 17, 2008 - May 8, 2009
CAPITAL CHOICE INVESTMENT ADVISERS, INC.
RIA
CRD#: 145932
THOMASVILLE, GA
Past
March 17, 2008 - September 22, 2009
CCF INVESTMENTS, INC.
BD
CRD#: 136571
GREENSBORO, GA
Past
January 1, 2005 - April 26, 2006
BANCNORTH INVESTMENT GROUP, INC.
BD
CRD#: 31299
ST. CLOUD, MN
Past
August 20, 2003 - April 26, 2006
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
NEWTON, MA
Past
August 21, 2002 - January 1, 2005
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
ST. CLOUD, MN
Past
August 21, 2000 - August 19, 2002
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
January 13, 1997 - August 17, 2000
BANKBOSTON INVESTOR SERVICES, INC.
BD
CRD#: 36369
BOSTON, MA
Past
June 4, 1991 - April 15, 1996
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
April 23, 1990 - May 31, 1991
FIDELITY DISTRIBUTORS CORPORATION
BD
CRD#: 6848
SMITHFIELD, RI
Past
May 4, 1989 - April 24, 1990
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
September 8, 1987 - March 14, 1988
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
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(3/5/2015)
RR
Alaska(3/5/2015)
RR
Arizona(3/5/2015)
RR
Arkansas(3/5/2015)
RR
California(3/5/2015)
RR
Connecticut(3/5/2015)
RR
Delaware(3/5/2015)
RR
Georgia(3/5/2015)
RR
Hawaii(3/5/2015)
RR
Idaho(3/5/2015)
RR
Illinois(3/5/2015)
RR
Indiana(3/5/2015)
RR
Iowa(3/5/2015)
RR
Kansas(3/5/2015)
RR
Kentucky(3/5/2015)
RR
Maine(3/5/2015)
RR
Massachusetts(3/5/2015)
RR
Michigan(3/5/2015)
RR
Minnesota(3/5/2015)
RR
Mississippi(3/5/2015)
RR
Missouri(3/5/2015)
RR
Montana(3/5/2015)
RR
Nebraska(3/5/2015)
RR
Nevada(3/5/2015)
RR
New Hampshire(3/5/2015)
RR
New Jersey(3/5/2015)
RR
New Mexico(3/5/2015)
RR
New York(3/5/2015)
RR
North Carolina(3/6/2015)
RR
North Dakota(3/5/2015)
RR
Oklahoma(3/5/2015)
RR
Oregon(3/5/2015)
RR
Pennsylvania(3/5/2015)
RR
Rhode Island(3/5/2015)
RR
South Carolina(3/5/2015)
RR
South Dakota(3/5/2015)
RR
Tennessee(3/5/2015)
RR
Texas(3/5/2015)
RR
Utah(3/5/2015)
RR
Vermont(3/5/2015)
RR
Virginia(3/5/2015)
RR
Washington(3/5/2015)
RR
West Virginia(3/5/2015)
RR
Wisconsin(3/5/2015)
RR
Wyoming(3/5/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
