SB
Steven L. Baru
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 1722032
SB
Professional summary
Steven Leslie Baru, who also goes by Steve Baru, Steven L Baru, is a registered financial advisor currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Steven is registered as a RR (Registered Representative) and started their career in finance in 1987. Steven has worked at 9 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Steve Baru | Steven L Baru
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 Steven Leslie Baru'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
June 1, 2015 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
August 10, 2011 - June 3, 2013
BANKERS & INVESTORS CO.
RIA
CRD#: 6874
KANSAS CITY, KS
Past
August 9, 2011 - June 3, 2013
BANKERS & INVESTORS CO.
BD
CRD#: 6874
KANSAS CITY, KS
Past
March 30, 2011 - June 27, 2011
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, CO
Past
November 17, 2008 - March 23, 2011
MOLONEY SECURITIES CO., INC.
RIA
CRD#: 38535
OVERLAND PARK, KS
Past
February 5, 2004 - March 23, 2011
MOLONEY SECURITIES CO., INC.
BD
CRD#: 38535
MANCHESTER, MO
Past
December 20, 2003 - February 4, 2004
NATIONS FINANCIAL GROUP, INC.
BD
CRD#: 44181
CEDAR RAPIDS, IA
Past
May 2, 2000 - December 19, 2003
ARCHER ALEXANDER SECURITIES CORPORATION
BD
CRD#: 41555
KANSAS CITY, MO
Past
September 26, 1994 - April 24, 2000
BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.
BD
CRD#: 13609
CEDAR RAPIDS, IA
Past
March 12, 1990 - April 4, 1994
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
August 20, 1987 - March 3, 1990
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
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(6/26/2015)
RR
Alaska(6/11/2015)
RR
Arizona(6/24/2015)
RR
Arkansas(6/15/2015)
RR
California(6/1/2015)
RR
Connecticut(6/12/2015)
RR
Delaware(6/18/2015)
RR
Georgia(6/23/2015)
RR
Hawaii(6/23/2015)
RR
Idaho(6/1/2015)
RR
Illinois(6/1/2015)
RR
Indiana(6/17/2015)
RR
Iowa(6/11/2015)
RR
Kansas(6/11/2015)
RR
Kentucky(6/4/2015)
RR
Maine(6/4/2015)
RR
Massachusetts(7/22/2015)
RR
Michigan(6/2/2015)
RR
Minnesota(6/12/2015)
RR
Mississippi(8/5/2015)
RR
Missouri(6/4/2015)
RR
Montana(6/2/2015)
RR
Nebraska(6/1/2015)
RR
Nevada(6/17/2015)
RR
New Hampshire(5/9/2024)
RR
New Jersey(6/15/2015)
RR
New Mexico(6/15/2015)
RR
New York(8/6/2015)
RR
North Carolina(6/12/2015)
RR
North Dakota(6/23/2015)
RR
Oklahoma(6/15/2015)
RR
Oregon(6/1/2015)
RR
Pennsylvania(6/2/2015)
RR
Rhode Island(6/1/2015)
RR
South Carolina(6/16/2015)
RR
South Dakota(6/11/2015)
RR
Tennessee(7/29/2015)
RR
Texas(6/9/2015)
RR
Utah(6/2/2015)
RR
Vermont(6/11/2015)
RR
Virginia(6/1/2015)
RR
Washington(6/12/2015)
RR
West Virginia(7/2/2015)
RR
Wisconsin(6/15/2015)
RR
Wyoming(6/12/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
