Gregory J. Vandervelde
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gregory John Vandervelde, who also goes by Greg Vandervelde, Vandy Vandervelde, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1993. Gregory had worked at 10 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 13, 2024 - November 7, 2025
EMPOWER FINANCIAL SERVICES, INC.
July 16, 2014 - October 27, 2021
CAMBIAR INVESTORS, LLC
December 18, 2013 - October 20, 2021
FORESIDE FUND SERVICES, LLC
July 19, 2013 - October 11, 2013
CURIAN CAPITAL, LLC
January 28, 2013 - October 11, 2013
CURIAN CLEARING, LLC
August 25, 2006 - June 12, 2012
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
August 22, 2005 - June 27, 2006
OLD MUTUAL INVESTMENT PARTNERS
August 13, 1997 - November 16, 2000
WELLS FARGO CLEARING SERVICES, LLC
August 8, 1996 - February 11, 1997
ROBERT W. BAIRD & CO. INCORPORATED
August 8, 1996 - February 11, 1997
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 10, 1993 - March 27, 1996
WELLS FARGO CLEARING SERVICES, 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 7TO
Date: 6/4/2024
General Securities Representative ExaminationCurrent 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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