Charles W. Coffey
Professional summary
Charles W Coffey, who also goes by Charles Wayne Coffey Jr, Charles Wayne Coffey Jr., Charles Wayne Coffey, Charles Coffey, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Charles is registered as a RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Charles W Coffey's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111December 21, 2020 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 14, 2018 - December 31, 2019
CETERA INVESTMENT ADVISERS LLC
June 14, 2018 - December 31, 2019
CETERA INVESTMENT SERVICES LLC
February 20, 2015 - June 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
February 20, 2015 - June 13, 2018
WELLS FARGO CLEARING SERVICES, LLC
August 2, 2005 - February 24, 2015
TRUIST INVESTMENT SERVICES, INC.
April 26, 2005 - February 24, 2015
TRUIST INVESTMENT SERVICES, INC.
March 3, 2004 - October 19, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 3, 2004 - October 19, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 22, 2000 - February 20, 2004
CHARLES SCHWAB & CO., INC.
April 14, 2000 - February 20, 2004
CHARLES SCHWAB & CO., INC.
July 17, 1998 - February 1, 2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 1997 - April 28, 1998
FIRST UNION BROKERAGE SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/4/2022)
(11/4/2024)
(6/18/2025)
(11/6/2024)
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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