Stephen J. Surat

EMPOWER FINANCIAL SERVICES

Greenwood Village, CO 80111

Some features on this profile are disabled

CRD#: 2877963

Professional summary

Stephen J Surat, who also goes by Stephen Joseph Surat, Steve Surat, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1997. Stephen has worked at 19 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Stephen Joseph Surat | Steve Surat

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 Stephen J Surat'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

April 4, 2022 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

Greenwood Village, CO

Past

August 8, 2019 - April 4, 2022

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

May 18, 2017 - July 11, 2019

NEWPORT GROUP SECURITIES, INC.

CRD#: 29722

LAKE MARY, FL

Past

March 31, 2015 - November 5, 2015

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

September 27, 2012 - March 31, 2015

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

April 21, 2009 - April 27, 2012

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

PARAMUS, NJ

Past

April 17, 2008 - March 17, 2009

ADP BROKER-DEALER, INC.

CRD#: 37693

ROSELAND, NJ

Past

July 12, 2007 - December 31, 2007

INVESTORS CAPITAL CORP.

CRD#: 30613

HAWTHORNE, NJ

Past

October 6, 2006 - July 18, 2007

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

June 16, 2004 - October 6, 2004

GARY GOLDBERG & CO., INC.

CRD#: 6482

SUFFERN, NY

Past

September 16, 2003 - December 15, 2003

LEK SECURITIES CORPORATION

CRD#: 33135

NEW CITY, NY

Past

November 7, 2002 - July 29, 2003

CELADON FINANCIAL GROUP LLC

CRD#: 36538

MORRISTOWN, NJ

Past

April 24, 2002 - November 21, 2002

TRADE MANAGE CAPITAL, INC.

CRD#: 7263

WALDWICK, NJ

Past

October 1, 2000 - November 26, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

May 23, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

August 3, 1998 - May 16, 2000

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

February 2, 1998 - June 22, 1998

IFG NETWORK SECURITIES, INC.

CRD#: 19948

ATLANTA, GA

Past

September 29, 1997 - February 18, 1998

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

September 29, 1997 - February 18, 1998

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(5/13/2025)

Alaska
(5/13/2025)

Arizona
(5/13/2025)

Arkansas
(5/13/2025)

California
(5/13/2025)

Connecticut
(5/13/2025)

Delaware
(5/13/2025)

Georgia
(5/13/2025)

Hawaii
(5/13/2025)

Idaho
(5/13/2025)

Illinois
(5/13/2025)

Indiana
(5/13/2025)

Iowa
(5/13/2025)

Kansas
(5/13/2025)

Kentucky
(5/13/2025)

Maine
(5/13/2025)

Massachusetts
(5/13/2025)

Michigan
(5/13/2025)

Minnesota
(5/13/2025)

Mississippi
(5/13/2025)

Missouri
(5/13/2025)

Montana
(5/13/2025)

Nebraska
(5/13/2025)

Nevada
(5/13/2025)

New Hampshire
(5/13/2025)

New Jersey
(4/4/2022)

New Mexico
(5/13/2025)

New York
(4/4/2022)

North Carolina
(5/13/2025)

North Dakota
(5/13/2025)

Oklahoma
(5/13/2025)

Oregon
(5/13/2025)

Pennsylvania
(5/13/2025)

Rhode Island
(5/13/2025)

South Carolina
(5/13/2025)

South Dakota
(5/13/2025)

Tennessee
(5/13/2025)

Texas
(5/13/2025)

Utah
(5/13/2025)

Vermont
(5/13/2025)

Virginia
(5/13/2025)

Washington
(5/13/2025)

West Virginia
(5/13/2025)

Wisconsin
(5/13/2025)

Wyoming
(5/13/2025)

Exams

State Security Law Exam

IAR

Series 65

Date: 10/28/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/14/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/18/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/26/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 4/24/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109 / SEC#: , 8-33854

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

Similar Advisors

Craig Johlfs

LPL FINANCIAL LLC

IAR

Greenwood Village, CO

Ralph Jones

OPPENHEIMER & CO. INC.

IAR

Denver, CO

Lorie Jones

TANDEM FINANCIAL, LLC

IAR

GREENWOOD VILLAGE, CO

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Stephen J. Surat

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen J Surat's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

NEWPORT GROUP SECURITIES, INC.

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

ADP BROKER-DEALER, INC.

INVESTORS CAPITAL CORP.

WORLD GROUP SECURITIES, INC.

GARY GOLDBERG & CO., INC.

LEK SECURITIES CORPORATION

CELADON FINANCIAL GROUP LLC

TRADE MANAGE CAPITAL, INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

IFG NETWORK SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/28/2000

Series 63

Date: 11/14/1997

SIE

Date: 10/1/2018

Series 7

Date: 3/18/1998

Series 6

Date: 9/26/1997

Series 24

Date: 4/24/1998

FINRA

Current Firm

EMPOWER FINANCIAL SERVICES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

EMPOWER FINANCIAL SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors