Richard H. Linton
Professional summary
Richard Henry Linton JR, who also goes by Richard Henry Linton, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Boston, Massachusetts.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 5 firms and has passed the Series 63, Series 99TO, 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 Richard Henry Linton JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 25, 2016 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 100 Federal St 18th Floor, Boston, MA 02110August 17, 2012 - May 4, 2016
VOYA FINANCIAL ADVISORS, INC.
September 16, 2010 - May 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 12, 2009 - July 28, 2010
FIDELITY DISTRIBUTORS COMPANY LLC
January 1, 2008 - June 26, 2009
FIDELITY BROKERAGE SERVICES LLC
January 30, 1991 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional 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 |
| 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 |
| 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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Company Information
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109Boston, MA 02110TRUST BUT VERIFY
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