Hani Farid
Professional summary
Hani Farid is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Katy, Texas.
Hani is registered as a RR (Registered Representative) and started their career in finance in 1988. Hani has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 52, Series 6 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Hani Farid's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 9, 2025 - Present
EMPOWER FINANCIAL SERVICES, INC.
June 17, 2022 - August 23, 2022
EMPOWER FINANCIAL SERVICES, INC.
March 8, 2018 - April 1, 2019
DAVID LERNER ASSOCIATES, INC.
June 18, 2010 - June 17, 2011
J.P. MORGAN SECURITIES LLC
March 13, 2009 - June 3, 2010
4G FINANCIAL, INC.
July 19, 2005 - March 5, 2008
WELLS FARGO SECURITIES, LLC
August 5, 2003 - July 15, 2005
CHAPDELAINE CORPORATE SECURITIES & CO
May 13, 1999 - July 1, 2003
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
December 20, 1988 - January 1, 1993
RESRV PARTNERS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/17/2025)
Exams
Series 6TO
Date: 6/17/2022
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current 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
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.
