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JS

Justin M. Spain

EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 2511430
JS

Professional summary

Justin Matthew Spain, who also goes by Justin Spain, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Justin is registered as a RR (Registered Representative) and started their career in finance in 1999. Justin has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Justin Spain

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Justin Matthew Spain's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 11, 2015 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E. Orchard Rd, Greenwood Village, CO 80111
BD
CRD#: 13109
Greenwood Village, CO
Past

September 27, 2012 - July 10, 2015

CUSO FINANCIAL SERVICES, L.P.

RIA
CRD#: 42132
WESTMINSTER, CO
Past

January 17, 2012 - July 10, 2015

CUSO FINANCIAL SERVICES, L.P.

BD
CRD#: 42132
WESTMINSTER, CO
Past

January 31, 2005 - January 11, 2012

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

February 1, 1999 - January 24, 2005

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO
Past

January 6, 1999 - January 28, 1999

INVESCO DISTRIBUTORS, INC.

BD
CRD#: 289
HOUSTON, TX

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
Alaska
(3/30/2020)
RR
California
(3/27/2020)
RR
Colorado
(8/11/2015)
RR
Florida
(8/11/2015)
RR
Idaho
(7/20/2020)
RR
Nevada
(3/27/2020)
RR
Oregon
(3/27/2020)
RR
Washington
(3/27/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/24/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/30/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/25/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/16/1998
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EMPOWER ANNUITY INSURANCE COMPANY OF AMERICASHAREHOLDER
BARRES, STEPHANIECOMPLIANCE OFFICER2203746
BRETON, HUGOBOARD DIRECTOR8128232
CHRISTOLINI, JOHNCHIEF COMPLIANCE OFFICER4141296
COCHRAN, SHANNON MARIECOMPLIANCE OFFICER4948393
CORDISCO, MEREDITHVP, COMPLIANCE8189199
CRAIG, CASEY RSENIOR VICE PRESIDENT4680712
ETTINGER, ROBERT DANIELFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER5593259
HUDSON, BROCKETT RICEASSISTANT SECRETARY6520983
KAVAN, ADAMASSISTANT GENERAL COUNSEL7155499
LINTON, RICHARD HENRY JREXECUTIVE VICE PRESIDENT AND DIRECTOR2107513
MCLEOD, DAVID GEORGEBOARD DIRECTOR3041563
MORRISON, DANIEL ARTHURSENIOR VICE PRESIDENT4078410
PATEL, PALAKSECRETARY7665103
SECOR, STEPHANIE ANNEVP, COMPLIANCE1454139
SMOLEN, JOSEPH MICHAELSENIOR VICE PRESIDENT4100909
STILLMAN, STEVEN JAMESBOARD DIRECTOR4870117
WADDELL, CAROL ELAINECHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER4867556

Disclosures

Regulatory Event5
Arbitration1

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.

Company Information

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109Greenwood Village, CO 80111

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