Vicki L. Wilson
Professional summary
Vicki Lynell Wilson, who also goes by VIcki L Wilson, Vicki Wilson, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Vicki is registered as a RR (Registered Representative) and started their career in finance in 1997. Vicki has worked at 13 firms and has passed the Series 66, Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Vicki Lynell Wilson's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 7, 2018 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111December 3, 2015 - May 11, 2018
MML DISTRIBUTORS, LLC
October 25, 2012 - September 30, 2015
EDELMAN FINANCIAL SERVICES, LLC
September 21, 2012 - September 30, 2015
SANDERS MORRIS LLC
November 18, 2009 - August 13, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 1, 2008 - February 25, 2009
FIDELITY BROKERAGE SERVICES LLC
December 4, 2006 - April 11, 2008
STRATEGIC ADVISERS LLC
June 21, 2006 - January 1, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
April 19, 2005 - May 17, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 31, 2005 - May 17, 2006
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 15, 2001 - March 17, 2005
CHARLES SCHWAB & CO., INC.
December 21, 2000 - March 17, 2005
CHARLES SCHWAB & CO., INC.
November 19, 1999 - November 8, 2000
LASALLE FINANCIAL SERVICES, INC.
September 24, 1997 - November 17, 1999
IDS LIFE INSURANCE COMPANY
September 24, 1997 - November 17, 1999
AMERIPRISE FINANCIAL 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
(11/1/2024)
(6/21/2024)
(11/1/2024)
(11/1/2024)
(11/1/2024)
(11/1/2024)
Exams
FINRA
Current 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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