Michele A. Floyd
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Michele Ann Floyd, CFP®, who also goes by Michele Ann Broxson, Michele Ann Jacobs, was a registered financial professional .
Michele is a previously registered financial professional and started their career in finance in 1998. Michele had worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2023 - November 7, 2025
EMPOWER FINANCIAL SERVICES, INC.
April 3, 2023 - November 7, 2025
EMPOWER ADVISORY GROUP, LLC
September 22, 2016 - April 3, 2023
PERSONAL CAPITAL ADVISORS CORPORATION
June 8, 2015 - August 24, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 5, 2015 - August 24, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 11, 2004 - October 28, 2009
WELLS FARGO INVESTMENTS, LLC
January 15, 2003 - October 28, 2009
WELLS FARGO INVESTMENTS, LLC
December 15, 2000 - June 12, 2001
WELLS FARGO BROKERAGE SERVICES, L.L.C.
December 13, 2000 - June 8, 2001
WELLS FARGO INVESTMENTS, LLC
May 4, 2000 - December 13, 2000
WELLS FARGO BROKERAGE SERVICES, L.L.C.
February 18, 1999 - May 12, 2000
USAA INVESTMENT SERVICES COMPANY
May 21, 1998 - February 10, 1999
BANC ONE SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 7/26/2023
General Securities Representative ExaminationCurrent 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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