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PH

Patricia Hernandez

EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 2981082
PH

Professional summary

Patricia Hernandez, who also goes by Patty Hernandez, Patricia Khamis, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Patricia is registered as a RR (Registered Representative) and started their career in finance in 1997. Patricia has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patty Hernandez | Patricia Khamis

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 Patricia Hernandez'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

November 25, 2019 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111
BD
CRD#: 13109
Greenwood Village, CO
Past

August 30, 2018 - December 4, 2018

LPL FINANCIAL LLC

BD
CRD#: 6413
GLENDALE, CA
Past

June 14, 2013 - August 21, 2018

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
WOODLAND HILLS, CA
Past

May 18, 2011 - May 17, 2013

CROWELL, WEEDON & CO.

RIA
CRD#: 193
LOS ANGELES, CA
Past

March 17, 2011 - May 17, 2013

CROWELL, WEEDON & CO.

BD
CRD#: 193
LOS ANGELES, CA
Past

October 20, 2010 - February 3, 2011

SECURITIES AMERICA, INC.

BD
CRD#: 10205
SANTA MARIA, CA
Past

July 1, 2009 - October 18, 2010

LPL FINANCIAL LLC

BD
CRD#: 6413
SANTA BARBARA, CA
Past

February 3, 2009 - July 6, 2009

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
SANTA MARIA, CA
Past

June 14, 2005 - August 29, 2008

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
SANTA BARBARA, CA
Past

December 11, 2004 - May 9, 2005

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
NEW YORK CITY, NY
Past

March 7, 2003 - December 11, 2004

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 6695
NEWPORT BEACH, CA
Past

June 17, 1999 - February 7, 2003

EQUITABLE DISTRIBUTORS, LLC

BD
CRD#: 25900
CHARLOTTE, NC
Past

December 22, 1997 - June 14, 1999

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
(9/13/2022)
RR
Alaska
(9/13/2022)
RR
Arizona
(9/13/2022)
RR
Arkansas
(9/13/2022)
RR
California
(11/25/2019)
RR
Connecticut
(9/13/2022)
RR
Delaware
(9/13/2022)
RR
Georgia
(9/13/2022)
RR
Hawaii
(9/13/2022)
RR
Idaho
(9/13/2022)
RR
Illinois
(9/13/2022)
RR
Indiana
(9/13/2022)
RR
Iowa
(9/13/2022)
RR
Kansas
(9/13/2022)
RR
Kentucky
(9/13/2022)
RR
Maine
(9/13/2022)
RR
Massachusetts
(9/13/2022)
RR
Michigan
(9/13/2022)
RR
Minnesota
(9/13/2022)
RR
Mississippi
(9/13/2022)
RR
Missouri
(9/13/2022)
RR
Montana
(9/13/2022)
RR
Nebraska
(9/13/2022)
RR
Nevada
(9/13/2022)
RR
New Hampshire
(9/13/2022)
RR
New Jersey
(9/13/2022)
RR
New Mexico
(9/13/2022)
RR
New York
(9/13/2022)
RR
North Carolina
(9/13/2022)
RR
North Dakota
(9/13/2022)
RR
Oklahoma
(9/13/2022)
RR
Oregon
(9/13/2022)
RR
Pennsylvania
(9/13/2022)
RR
Rhode Island
(9/13/2022)
RR
South Carolina
(9/13/2022)
RR
South Dakota
(9/13/2022)
RR
Tennessee
(9/13/2022)
RR
Texas
(9/13/2022)
RR
Utah
(9/13/2022)
RR
Vermont
(9/13/2022)
RR
Virginia
(9/13/2022)
RR
Washington
(9/13/2022)
RR
West Virginia
(9/13/2022)
RR
Wisconsin
(9/13/2022)
RR
Wyoming
(9/13/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/11/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/19/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/12/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/18/1997
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EMPOWER ANNUITY INSURANCE COMPANY OF AMERICASHAREHOLDER
BARRES, STEPHANIECOMPLIANCE OFFICER2203746
BRETON, HUGOBOARD DIRECTOR8128232
CHRISTOLINI, JOHNCHIEF COMPLIANCE OFFICER4141296
COCHRAN, SHANNON MARIECOMPLIANCE OFFICER4948393
CORDISCO, MEREDITHVP, COMPLIANCE8189199
CRAIG, CASEY RSENIOR VICE PRESIDENT4680712
ETTINGER, ROBERT DANIELFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER5593259
HUDSON, BROCKETT RICEASSISTANT SECRETARY6520983
KAVAN, ADAMASSISTANT GENERAL COUNSEL7155499
LINTON, RICHARD HENRY JREXECUTIVE VICE PRESIDENT AND DIRECTOR2107513
MCLEOD, DAVID GEORGEBOARD DIRECTOR3041563
MORRISON, DANIEL ARTHURSENIOR VICE PRESIDENT4078410
PATEL, PALAKSECRETARY7665103
SECOR, STEPHANIE ANNEVP, COMPLIANCE1454139
SMOLEN, JOSEPH MICHAELSENIOR VICE PRESIDENT4100909
STILLMAN, STEVEN JAMESBOARD DIRECTOR4870117
WADDELL, CAROL ELAINECHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER4867556

Disclosures

Regulatory Event5
Arbitration1

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.

Company Information

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109Greenwood Village, CO 80111

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