Kathleen S. Stevens
Professional summary
Kathleen Sue Stevens, who also goes by Kathy Stjohn, Kathy S St John, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Kathleen is registered as a RR (Registered Representative) and started their career in finance in 1989. Kathleen has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kathleen Sue Stevens's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 19, 2017 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E. Orchard Rd, Greenwood Village, CO 80111December 3, 2002 - October 12, 2017
COREBRIDGE CAPITAL SERVICES, INC.
October 22, 2002 - November 1, 2002
NEXT FINANCIAL GROUP, INC.
August 27, 1997 - April 24, 2002
VALIC FINANCIAL ADVISORS, INC.
April 5, 1989 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/19/2017)
Exams
FINRA
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
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