EG
Errol Guerra
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
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CRD#: 2985779
EG
Professional summary
Errol Guerra is a registered financial advisor currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Errol is registered as a RR (Registered Representative) and started their career in finance in 1997. Errol has worked at 10 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 6, Series 7 and Series 52 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Errol Guerra'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
April 13, 2015 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
May 4, 2009 - October 2, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
DENVER, CO
Past
June 26, 2006 - October 2, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, CO
Past
October 13, 2004 - June 7, 2005
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
February 26, 2003 - March 25, 2004
AMERICAN SKANDIA ADVISORY SERVICES, INC.
RIA
CRD#: 109211
SHELTON, CT
Past
September 30, 2002 - September 8, 2004
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
May 22, 2002 - July 15, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
DENVER, CO
Past
May 10, 2002 - July 15, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
May 10, 2002 - July 15, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
September 17, 2001 - March 13, 2002
ATLAS SECURITIES, LLC
BD
CRD#: 20991
SAN LEANDRO, CA
Past
October 30, 2000 - September 14, 2001
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
December 15, 1997 - December 21, 1998
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
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(5/22/2015)
RR
Alaska(4/24/2015)
RR
Arizona(5/19/2015)
RR
Arkansas(4/27/2015)
RR
California(4/23/2015)
RR
Colorado(4/24/2015)
RR
Connecticut(4/23/2015)
RR
Delaware(4/28/2015)
RR
Georgia(4/27/2015)
RR
Hawaii(4/24/2015)
RR
Idaho(4/24/2015)
RR
Illinois(4/24/2015)
RR
Indiana(4/28/2015)
RR
Iowa(4/24/2015)
RR
Kansas(5/1/2015)
RR
Kentucky(4/23/2015)
RR
Maine(4/24/2015)
RR
Massachusetts(4/24/2015)
RR
Michigan(4/27/2015)
RR
Minnesota(4/24/2015)
RR
Mississippi(5/5/2015)
RR
Missouri(4/24/2015)
RR
Montana(4/24/2015)
RR
Nebraska(4/23/2015)
RR
Nevada(5/4/2015)
RR
New Hampshire(7/17/2015)
RR
New Jersey(5/5/2015)
RR
New Mexico(4/27/2015)
RR
New York(4/28/2015)
RR
North Carolina(4/27/2015)
RR
North Dakota(4/24/2015)
RR
Oklahoma(4/27/2015)
RR
Oregon(5/28/2015)
RR
Pennsylvania(4/24/2015)
RR
Rhode Island(4/24/2015)
RR
South Carolina(5/4/2015)
RR
South Dakota(4/24/2015)
RR
Tennessee(5/5/2015)
RR
Texas(5/5/2015)
RR
Utah(4/24/2015)
RR
Vermont(4/27/2015)
RR
Virginia(4/23/2015)
RR
Washington(5/7/2015)
RR
West Virginia(5/7/2015)
RR
Wisconsin(5/4/2015)
RR
Wyoming(4/28/2015)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/11/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
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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)
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.
