SJ
Scott D. Johnson
EMPOWER CAPITAL MANAGEMENT
Rocky Hill, CT
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CRD#: 3026325
SJ
Professional summary
Scott D Johnson, who also goes by Scott D Johnson, is a registered financial advisor currently at EMPOWER CAPITAL MANAGEMENT, LLC located in Rocky Hill, Connecticut and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Scott has worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott D Johnson
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) - RIA
Click below to view Scott D Johnson'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
February 21, 2023 - Present
EMPOWER CAPITAL MANAGEMENT, LLC
RIA
CRD#: 107272
Rocky Hill, CT
Current
December 22, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
April 11, 2019 - December 13, 2022
GLOBAL PORTFOLIO STRATEGIES, INC.
RIA
CRD#: 105812
Hartford, CT
Past
February 25, 2008 - December 13, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EC
EMPOWER CAPITAL MANAGEMENT, LLC
EMPOWER CAPITAL MANAGEMENT, LLC | MAXIM CAPITAL MANAGEMENT, LLC | GW CAPITAL MANAGEMENT LLC | GREAT-WEST CAPITAL MANAGEMENT, LLC
CRD#: 107272 / SEC#: 801-52309
RIA
Registered Investment Advisory firm - (6/28/1996 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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(12/22/2022)
RR
Alaska(12/22/2022)
RR
Arizona(12/22/2022)
RR
Arkansas(12/22/2022)
RR
California(12/22/2022)
RR
Colorado(12/22/2022)
RR
Connecticut(12/22/2022)
IAR
Connecticut(2/21/2023)
RR
Delaware(12/22/2022)
RR
District of Columbia(12/22/2022)
RR
Florida(12/22/2022)
RR
Georgia(12/22/2022)
RR
Hawaii(12/22/2022)
RR
Idaho(12/22/2022)
RR
Illinois(12/22/2022)
RR
Indiana(12/22/2022)
RR
Iowa(12/22/2022)
RR
Kansas(12/22/2022)
RR
Kentucky(12/22/2022)
RR
Louisiana(12/22/2022)
RR
Maine(12/22/2022)
RR
Maryland(12/22/2022)
RR
Massachusetts(12/22/2022)
RR
Michigan(12/22/2022)
RR
Minnesota(12/22/2022)
RR
Mississippi(12/22/2022)
RR
Missouri(12/22/2022)
RR
Montana(12/22/2022)
RR
Nebraska(12/22/2022)
RR
Nevada(12/22/2022)
RR
New Hampshire(12/22/2022)
RR
New Jersey(12/22/2022)
RR
New Mexico(12/22/2022)
RR
New York(12/22/2022)
RR
North Carolina(12/22/2022)
RR
North Dakota(12/22/2022)
RR
Ohio(1/3/2023)
RR
Oklahoma(12/22/2022)
RR
Oregon(12/22/2022)
RR
Pennsylvania(12/22/2022)
RR
Puerto Rico(12/22/2022)
RR
Rhode Island(12/22/2022)
RR
South Carolina(12/22/2022)
RR
South Dakota(12/22/2022)
RR
Tennessee(12/22/2022)
RR
Texas(12/22/2022)
RR
Utah(12/22/2022)
RR
Vermont(12/22/2022)
RR
Virginia(12/22/2022)
RR
Washington(12/22/2022)
RR
West Virginia(12/22/2022)
RR
Wisconsin(12/22/2022)
RR
Wyoming(12/22/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EC
EMPOWER CAPITAL MANAGEMENT, LLC
EMPOWER CAPITAL MANAGEMENT, LLC | MAXIM CAPITAL MANAGEMENT, LLC | GW CAPITAL MANAGEMENT LLC | GREAT-WEST CAPITAL MANAGEMENT, LLC
CRD#: 107272 / SEC#: 801-52309
RIA
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Contact information
Main Address
8515 East Orchard Road 2t3, Greenwood Village, CO, 80111
Mailing Address
Phone number
(303) 737-3000
Established
Firm type
Fiscal year end
# of Employees
321
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 155 |
| AUM (Assets Under Management) | $ 68,344,867,702 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 07/18/2024 | ||
| 10/27/2023 | ||
| 04/14/2023 | ||
| 03/29/2023 |
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.
