AG
Andrew M. Gracan
EMPOWER FINANCIAL SERVICES
Hartford, CT 06103
Some features on this profile are disabled
CRD#: 2370747
AG
Professional summary
Andrew Mark Gracan, AIF®, who also goes by Drew Gracan, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Hartford, Connecticut.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 1993. Andrew has worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Drew Gracan
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 Andrew Mark Gracan'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®
Experience
Current
October 15, 2013 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 280 Trumbull Street, Hartford, CT 06103BD
CRD#: 13109
Hartford, CT
Past
March 26, 2012 - September 25, 2013
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
PITTSBURGH, PA
Past
January 16, 2008 - January 30, 2012
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
BD
CRD#: 102920
NEW YORK, NY
Past
June 26, 2006 - January 15, 2008
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
July 22, 2004 - March 22, 2005
SCHNEIDER DOWNS WEALTH MANAGEMENT ADVISORS, LP
RIA
CRD#: 128591
PITTSBURGH, PA
Past
July 25, 2001 - January 6, 2004
NATCITY INVESTMENTS, INC.
BD
CRD#: 17490
CLEVELAND, OH
Past
September 12, 1996 - June 19, 2000
ADP BROKER-DEALER, INC.
BD
CRD#: 37693
ROSELAND, NJ
Past
April 28, 1995 - August 5, 1996
SAFEGUARD SECURITIES, INC.
BD
CRD#: 31256
MAYFIELD HEIGHTS, OH
Past
August 26, 1993 - May 4, 1995
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
August 26, 1993 - May 4, 1995
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
July 29, 1993 - August 13, 1993
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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(10/15/2013)
RR
Alaska(10/15/2013)
RR
Arizona(10/15/2013)
RR
Arkansas(10/15/2013)
RR
California(10/15/2013)
RR
Colorado(10/15/2013)
RR
Connecticut(10/15/2013)
RR
Delaware(10/15/2013)
RR
District of Columbia(10/15/2013)
RR
Florida(10/15/2013)
RR
Georgia(10/15/2013)
RR
Hawaii(10/15/2013)
RR
Idaho(10/15/2013)
RR
Illinois(10/15/2013)
RR
Indiana(10/15/2013)
RR
Iowa(10/15/2013)
RR
Kansas(10/15/2013)
RR
Kentucky(10/15/2013)
RR
Louisiana(10/15/2013)
RR
Maine(10/15/2013)
RR
Maryland(10/15/2013)
RR
Massachusetts(10/15/2013)
RR
Michigan(10/15/2013)
RR
Minnesota(10/15/2013)
RR
Mississippi(10/15/2013)
RR
Missouri(10/15/2013)
RR
Montana(10/15/2013)
RR
Nebraska(10/15/2013)
RR
Nevada(10/15/2013)
RR
New Hampshire(10/15/2013)
RR
New Jersey(10/15/2013)
RR
New Mexico(10/15/2013)
RR
New York(10/15/2013)
RR
North Carolina(10/15/2013)
RR
North Dakota(10/15/2013)
RR
Ohio(10/15/2013)
RR
Oklahoma(10/15/2013)
RR
Oregon(10/15/2013)
RR
Pennsylvania(10/15/2013)
RR
Rhode Island(10/15/2013)
RR
South Carolina(10/15/2013)
RR
South Dakota(10/15/2013)
RR
Tennessee(10/15/2013)
RR
Texas(10/15/2013)
RR
Utah(10/15/2013)
RR
Vermont(10/15/2013)
RR
Virginia(10/15/2013)
RR
Washington(10/15/2013)
RR
West Virginia(10/15/2013)
RR
Wisconsin(10/15/2013)
RR
Wyoming(10/15/2013)
Exams
State Security Law Exam
General Industry/Product 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.
