DB
Daniel C. Bakeberg
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
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CRD#: 4152722
DB
Professional summary
Daniel C Bakeberg, who also goes by Daniel Christopher Bakeberg, Daniel Bakeberg, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2001. Daniel has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel Christopher Bakeberg | Daniel Bakeberg
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 Daniel C Bakeberg'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 24, 2020 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
November 7, 2019 - February 27, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LINCOLN, RI
Past
March 19, 2012 - February 27, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LINCOLN, RI
Past
January 1, 2008 - April 1, 2011
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PLYMOUTH, MA
Past
February 20, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
PLYMOUTH, MA
Past
April 1, 2005 - February 12, 2007
MMC SECURITIES LLC
BD
CRD#: 103846
NORWOOD, MA
Past
February 2, 2001 - April 1, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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(4/24/2020)
RR
Alaska(4/24/2020)
RR
Arizona(4/24/2020)
RR
Arkansas(4/24/2020)
RR
California(4/24/2020)
RR
Connecticut(4/24/2020)
RR
Delaware(4/24/2020)
RR
Georgia(4/24/2020)
RR
Hawaii(4/24/2020)
RR
Idaho(4/24/2020)
RR
Illinois(4/24/2020)
RR
Indiana(4/24/2020)
RR
Iowa(4/24/2020)
RR
Kansas(4/24/2020)
RR
Kentucky(4/24/2020)
RR
Maine(4/24/2020)
RR
Massachusetts(4/24/2020)
RR
Michigan(4/24/2020)
RR
Minnesota(4/24/2020)
RR
Mississippi(4/24/2020)
RR
Missouri(4/24/2020)
RR
Montana(4/24/2020)
RR
Nebraska(4/24/2020)
RR
Nevada(4/24/2020)
RR
New Hampshire(4/24/2020)
RR
New Jersey(4/24/2020)
RR
New Mexico(4/24/2020)
RR
New York(4/24/2020)
RR
North Carolina(4/24/2020)
RR
North Dakota(4/24/2020)
RR
Oklahoma(4/24/2020)
RR
Oregon(4/24/2020)
RR
Pennsylvania(4/24/2020)
RR
Rhode Island(4/24/2020)
RR
South Carolina(4/24/2020)
RR
South Dakota(4/24/2020)
RR
Tennessee(4/24/2020)
RR
Texas(4/24/2020)
RR
Utah(4/24/2020)
RR
Vermont(4/24/2020)
RR
Virginia(4/24/2020)
RR
Washington(4/24/2020)
RR
West Virginia(4/24/2020)
RR
Wisconsin(4/24/2020)
RR
Wyoming(4/24/2020)
Exams
State Security Law Exam
State Security Law 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.
