KB
Kathy L. Brown
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
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CRD#: 2086603
KB
Professional summary
Kathy Lynn Brown, who also goes by Kathy L Brown, Kathy L Harris, Kathy Lynn Harris, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Kathy is registered as a RR (Registered Representative) and started their career in finance in 1993. Kathy has worked at 5 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Kathy L Brown | Kathy L Harris | Kathy Lynn Harris
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 Kathy Lynn Brown'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
May 30, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
June 6, 2019 - June 8, 2020
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
SELINSGROVE, PA
Past
March 1, 2016 - May 22, 2019
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MIFFLINTOWN, PA
Past
October 22, 2003 - September 9, 2011
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
SCRANTON, PA
Past
March 6, 2001 - October 15, 2003
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 24, 1993 - March 9, 2001
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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(6/1/2022)
RR
Alaska(6/1/2022)
RR
Arizona(6/8/2022)
RR
Arkansas(6/6/2022)
RR
California(5/31/2022)
RR
Connecticut(5/31/2022)
RR
Delaware(6/7/2022)
RR
Georgia(5/31/2022)
RR
Hawaii(6/1/2022)
RR
Idaho(5/31/2022)
RR
Illinois(6/3/2022)
RR
Indiana(6/27/2022)
RR
Iowa(6/2/2022)
RR
Kansas(5/31/2022)
RR
Kentucky(6/2/2022)
RR
Maine(5/31/2022)
RR
Massachusetts(5/31/2022)
RR
Michigan(6/1/2022)
RR
Minnesota(6/1/2022)
RR
Mississippi(6/2/2022)
RR
Missouri(6/1/2022)
RR
Montana(5/31/2022)
RR
Nebraska(5/31/2022)
RR
Nevada(6/16/2022)
RR
New Hampshire(6/21/2022)
RR
New Jersey(6/7/2022)
RR
New Mexico(6/1/2022)
RR
New York(6/21/2022)
RR
North Carolina(5/31/2022)
RR
North Dakota(6/6/2022)
RR
Oklahoma(6/2/2022)
RR
Oregon(5/31/2022)
RR
Pennsylvania(6/1/2022)
RR
Rhode Island(6/9/2022)
RR
South Carolina(6/1/2022)
RR
South Dakota(6/30/2022)
RR
Tennessee(6/6/2022)
RR
Texas(5/30/2022)
RR
Utah(5/31/2022)
RR
Vermont(6/2/2022)
RR
Virginia(6/4/2022)
RR
Washington(6/6/2022)
RR
West Virginia(6/6/2022)
RR
Wisconsin(6/1/2022)
RR
Wyoming(6/1/2022)
Exams
State Security Law Exam
State Security Law 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.
