Brian M. Poole
Professional summary
Brian Mark Poole, who also goes by Brian M Poole, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Brian is registered as a RR (Registered Representative) and started their career in finance in 1992. Brian has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Brian Mark Poole's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 18, 2008 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E. Orchard Rd, Greenwood Village, CO 80111January 23, 2006 - February 4, 2008
INVEST FINANCIAL CORPORATION
January 23, 2006 - February 4, 2008
INVEST FINANCIAL CORPORATION
September 23, 2004 - November 28, 2005
TD WEALTH MANAGEMENT SERVICES INC.
September 23, 2004 - November 28, 2005
TD WEALTH MANAGEMENT SERVICES INC.
July 1, 2003 - June 24, 2004
KESTRA INVESTMENT SERVICES, LLC
July 1, 2003 - June 24, 2004
KESTRA INVESTMENT SERVICES, LLC
September 24, 2002 - April 24, 2003
TD WEALTH MANAGEMENT SERVICES INC.
October 17, 2001 - April 24, 2003
TD WEALTH MANAGEMENT SERVICES INC.
February 29, 2000 - October 10, 2001
TRANSAMERICA SECURITIES SALES CORPORATION
April 21, 1992 - March 10, 1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 21, 1992 - December 19, 1994
SIGNATOR INVESTORS, 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
(5/28/2008)
(10/14/2016)
(4/18/2008)
(10/14/2016)
(10/6/2008)
(10/6/2008)
(4/12/2012)
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
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.
