CW
Clark P. Welch
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 2721006
CW
Professional summary
Clark Paul Welch, who also goes by Clarke P Welch, Clarke Paul Welch, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Clark is registered as a RR (Registered Representative) and started their career in finance in 1996. Clark has worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Clarke P Welch | Clarke Paul Welch
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 Clark Paul Welch'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
May 11, 2015 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
July 3, 2014 - May 12, 2015
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
ROCKY HILL, CT
Past
August 2, 2012 - June 4, 2014
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
ANDOVER, MA
Past
September 2, 2010 - July 13, 2012
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
AUBURN, ME
Past
May 21, 2009 - April 28, 2010
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
BEDFORD, NH
Past
January 10, 2006 - October 6, 2008
TCADVISORS NETWORK INC.
BD
CRD#: 35794
CENTENNIAL, CO
Past
June 2, 2005 - January 3, 2006
ATLAS SECURITIES, LLC
BD
CRD#: 20991
NAPLES, FL
Past
January 20, 2005 - June 3, 2005
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
October 21, 2003 - June 15, 2004
KBD SECURITIES, LLC
BD
CRD#: 104110
NEW YORK, NY
Past
June 24, 2003 - September 30, 2003
LEGACY FINANCIAL SERVICES, INC.
BD
CRD#: 38697
PETALUMA, CA
Past
June 17, 1999 - December 9, 2002
FRED ALGER & COMPANY, LLC
BD
CRD#: 5300
NEW YORK, NY
Past
April 14, 1998 - May 19, 1999
USALLIANZ SECURITIES, INC.
BD
CRD#: 40875
MINNEAPOLIS, MN
Past
June 28, 1996 - December 6, 1996
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
June 28, 1996 - December 6, 1996
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
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(5/11/2015)
RR
Alaska(5/11/2015)
RR
Arizona(5/11/2015)
RR
Arkansas(5/11/2015)
RR
California(5/11/2015)
RR
Connecticut(5/11/2015)
RR
Delaware(5/11/2015)
RR
Georgia(5/11/2015)
RR
Hawaii(5/11/2015)
RR
Idaho(5/11/2015)
RR
Illinois(5/11/2015)
RR
Indiana(5/11/2015)
RR
Iowa(5/11/2015)
RR
Kansas(5/11/2015)
RR
Kentucky(5/11/2015)
RR
Maine(5/11/2015)
RR
Massachusetts(5/11/2015)
RR
Michigan(5/11/2015)
RR
Minnesota(5/11/2015)
RR
Mississippi(5/11/2015)
RR
Missouri(5/11/2015)
RR
Montana(5/11/2015)
RR
Nebraska(5/11/2015)
RR
Nevada(5/11/2015)
RR
New Hampshire(5/11/2015)
RR
New Jersey(5/11/2015)
RR
New Mexico(5/11/2015)
RR
New York(5/11/2015)
RR
North Carolina(5/12/2015)
RR
North Dakota(5/11/2015)
RR
Oklahoma(5/11/2015)
RR
Oregon(5/11/2015)
RR
Pennsylvania(5/11/2015)
RR
Rhode Island(5/11/2015)
RR
South Carolina(5/11/2015)
RR
South Dakota(5/11/2015)
RR
Tennessee(5/11/2015)
RR
Texas(5/11/2015)
RR
Utah(5/11/2015)
RR
Vermont(5/11/2015)
RR
Virginia(5/11/2015)
RR
Washington(5/11/2015)
RR
West Virginia(5/11/2015)
RR
Wisconsin(5/11/2015)
RR
Wyoming(5/11/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
