KS
Kyle D. Stevens
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
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CRD#: 1694369
KS
Professional summary
Kyle Douglas Stevens, who also goes by Kyle D Stevens, Kyle Stevens, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Kyle is registered as a RR (Registered Representative) and started their career in finance in 1989. Kyle has worked at 12 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kyle D Stevens | Kyle Stevens
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 Kyle Douglas Stevens'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
August 21, 2020 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
NEWARK, NJ
Past
July 24, 2012 - September 9, 2013
EMPLOYER RETIREMENT INVESTMENT ADVISORS, LLC
RIA
CRD#: 153254
ELBURN, IL
Past
September 7, 2009 - July 21, 2010
USI ADVISORS
RIA
CRD#: 108113
GLASTONBURY, CT
Past
May 8, 2009 - July 21, 2010
USI SECURITIES, INC.
BD
CRD#: 43793
CHICAGO, IL
Past
March 20, 2008 - October 8, 2008
NRP FINANCIAL, INC.
BD
CRD#: 103717
INDIANAPOLIS, IN
Past
January 22, 2008 - March 18, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
CHICAGO, IL
Past
January 18, 2007 - January 2, 2008
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Past
March 5, 2004 - January 9, 2007
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
August 22, 1995 - October 3, 2002
FIDELITY DISTRIBUTORS COMPANY LLC
BD
CRD#: 17507
SMITHFIELD, RI
Past
February 24, 1992 - July 12, 1995
MISSIONSQUARE INVESTMENT SERVICES
BD
CRD#: 23189
WASHINGTON, DC
Past
November 20, 1989 - August 30, 1991
KEMPER FINANCIAL SERVICES, INC.
BD
CRD#: 798
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(10/2/2023)
RR
Arizona(10/2/2023)
RR
Arkansas(10/2/2023)
RR
California(4/4/2022)
RR
Connecticut(10/2/2023)
RR
Delaware(10/2/2023)
RR
Georgia(10/2/2023)
RR
Idaho(10/2/2023)
RR
Illinois(4/4/2022)
RR
Indiana(10/2/2023)
RR
Iowa(10/2/2023)
RR
Kansas(10/2/2023)
RR
Kentucky(10/2/2023)
RR
Maine(10/2/2023)
RR
Massachusetts(10/2/2023)
RR
Michigan(10/2/2023)
RR
Minnesota(10/2/2023)
RR
Mississippi(10/2/2023)
RR
Missouri(4/4/2022)
RR
Montana(10/2/2023)
RR
Nebraska(10/2/2023)
RR
Nevada(10/2/2023)
RR
New Hampshire(10/2/2023)
RR
New Jersey(10/2/2023)
RR
New Mexico(10/2/2023)
RR
New York(10/2/2023)
RR
North Carolina(10/2/2023)
RR
North Dakota(10/2/2023)
RR
Oklahoma(10/2/2023)
RR
Oregon(10/2/2023)
RR
Pennsylvania(10/2/2023)
RR
Rhode Island(10/2/2023)
RR
South Carolina(10/2/2023)
RR
South Dakota(10/2/2023)
RR
Tennessee(4/4/2022)
RR
Texas(4/4/2022)
RR
Utah(4/4/2022)
RR
Vermont(10/2/2023)
RR
Virginia(10/2/2023)
RR
Washington(10/2/2023)
RR
West Virginia(10/2/2023)
RR
Wisconsin(10/2/2023)
RR
Wyoming(10/2/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 8/21/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
