Tawnya T. Perrotta
Professional summary
Tawnya Theresa Perrotta, who also goes by Tawnya Theresa Cooke, Tawnya T Seale, Tawnya Theresa Seale, Tawnya Theresa Wicker, Tawnya Wickerseale, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Tawnya is registered as a RR (Registered Representative) and started their career in finance in 1991. Tawnya has worked at 13 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Tawnya Theresa Perrotta's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 15, 2015 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E. Orchard Rd, Greenwood Village, CO 80111February 10, 2011 - June 4, 2015
CETERA WEALTH SERVICES, LLC
February 9, 2011 - June 4, 2015
CETERA INVESTMENT SERVICES LLC
February 9, 2011 - June 4, 2015
CETERA WEALTH SERVICES, LLC
August 20, 2007 - March 16, 2012
CETERA ADVISORS LLC
August 14, 2007 - June 4, 2015
CETERA ADVISORS LLC
April 25, 2005 - August 10, 2007
KESTRA INVESTMENT SERVICES, LLC
May 14, 2004 - March 24, 2005
J. SCOTT SECURITIES CORP.
October 26, 2000 - December 2, 2003
CRESTONE SECURITIES LLC
July 21, 1998 - October 26, 2000
CETERA ADVISORS LLC
June 18, 1997 - June 19, 1998
METROPOLITAN LIFE INSURANCE COMPANY
June 18, 1997 - June 19, 1998
MSI FINANCIAL SERVICES, INC.
June 18, 1997 - July 7, 1998
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
September 14, 1993 - April 17, 1997
CETERA ADVISORS LLC
May 22, 1992 - July 28, 1993
NATIONAL CITY INVESTMENTS CORPORATION
July 15, 1991 - May 22, 1992
FINANCIAL HORIZONS SECURITIES CORPORATION
April 3, 1991 - May 22, 1992
FINANCIAL HORIZONS DISCOUNT BROKERAGE, 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
(6/15/2015)
(6/15/2015)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities 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
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