DG
David M. Greenberg
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
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CRD#: 2610367
DG
Professional summary
David Michael Greenberg, who also goes by Dave M Greenberg, David Michael Greenberg, David M Greenberg, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
David is registered as a RR (Registered Representative) and started their career in finance in 1995. David has worked at 8 firms and has passed the Series 63, Series 7TO, Series 6TO, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dave M Greenberg | David Michael Greenberg | David M Greenberg
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 David Michael Greenberg'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®
NoneExperience
Current
November 15, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
April 17, 2023 - August 21, 2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHARLOTTE, NC
Past
March 17, 2003 - August 6, 2003
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
March 17, 2003 - August 6, 2003
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
April 26, 1999 - August 2, 2001
CROWN FINANCIAL GROUP, INC.
BD
CRD#: 540
JERSEY CITY, NJ
Past
March 11, 1998 - August 28, 1998
PERSHING ADVISOR SOLUTIONS LLC
BD
CRD#: 36671
JERSEY CITY, NJ
Past
October 8, 1997 - December 15, 1997
ROUND HILL SECURITIES, INC.
BD
CRD#: 35223
ALAMO, CA
Past
May 30, 1995 - October 20, 1997
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(11/15/2023)
RR
Alaska(11/15/2023)
RR
Arizona(11/15/2023)
RR
Arkansas(11/15/2023)
RR
California(11/15/2023)
RR
Connecticut(11/15/2023)
RR
Delaware(11/15/2023)
RR
Georgia(11/15/2023)
RR
Hawaii(11/15/2023)
RR
Idaho(11/15/2023)
RR
Illinois(11/15/2023)
RR
Indiana(11/15/2023)
RR
Iowa(11/15/2023)
RR
Kansas(11/15/2023)
RR
Kentucky(11/15/2023)
RR
Maine(11/15/2023)
RR
Massachusetts(11/15/2023)
RR
Michigan(11/15/2023)
RR
Minnesota(11/15/2023)
RR
Mississippi(11/15/2023)
RR
Missouri(11/15/2023)
RR
Montana(11/15/2023)
RR
Nebraska(11/15/2023)
RR
Nevada(11/15/2023)
RR
New Hampshire(11/15/2023)
RR
New Jersey(11/15/2023)
RR
New Mexico(11/15/2023)
RR
New York(11/15/2023)
RR
North Carolina(11/15/2023)
RR
North Dakota(11/15/2023)
RR
Oklahoma(11/15/2023)
RR
Oregon(11/15/2023)
RR
Pennsylvania(11/15/2023)
RR
Rhode Island(11/15/2023)
RR
South Carolina(11/15/2023)
RR
South Dakota(11/15/2023)
RR
Tennessee(11/15/2023)
RR
Texas(11/15/2023)
RR
Utah(11/15/2023)
RR
Vermont(11/15/2023)
RR
Virginia(11/15/2023)
RR
Washington(11/15/2023)
RR
West Virginia(11/15/2023)
RR
Wisconsin(11/15/2023)
RR
Wyoming(11/15/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/22/2025
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 4/17/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/6/2000
Limited Representative-Equity Trader ExamGeneral 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.
