AD
Adam A. Deleo
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
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CRD#: 4155840
AD
Professional summary
Adam Anthony Deleo, who also goes by Adam Anthony Deleo, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2000. Adam has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Adam Anthony Deleo
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 Adam Anthony Deleo'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
December 20, 2024 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
July 26, 2021 - December 31, 2022
PLANMEMBER SECURITIES CORPORATION
RIA
CRD#: 11869
IRVINGTON, NY
Past
March 30, 2017 - December 31, 2022
PLANMEMBER SECURITIES CORPORATION
BD
CRD#: 11869
IRVINGTON, NY
Past
January 15, 2016 - April 22, 2016
MUTUAL OF AMERICA SECURITIES LLC
BD
CRD#: 27878
TARRYTOWN, NY
Past
January 15, 2016 - April 22, 2016
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
BD
CRD#: 15356
TARRYTOWN, NY
Past
March 19, 2009 - October 8, 2014
SCOTTRADE, INC.
BD
CRD#: 8206
STAMFORD, CT
Past
January 1, 2008 - March 17, 2009
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
WHITE PLAINS, NY
Past
March 19, 2007 - January 3, 2008
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
WHITE PLAINS, NY
Past
April 27, 2000 - January 7, 2004
DAVID LERNER ASSOCIATES, INC.
BD
CRD#: 5397
SYOSSET, NY
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(1/6/2025)
RR
Alaska(1/6/2025)
RR
Arizona(1/6/2025)
RR
Arkansas(1/6/2025)
RR
California(1/6/2025)
RR
Connecticut(1/6/2025)
RR
Delaware(1/6/2025)
RR
Georgia(1/6/2025)
RR
Hawaii(1/6/2025)
RR
Idaho(1/6/2025)
RR
Illinois(1/6/2025)
RR
Indiana(1/6/2025)
RR
Iowa(1/6/2025)
RR
Kansas(1/6/2025)
RR
Kentucky(1/6/2025)
RR
Maine(1/6/2025)
RR
Massachusetts(1/6/2025)
RR
Michigan(1/6/2025)
RR
Minnesota(1/6/2025)
RR
Mississippi(1/6/2025)
RR
Missouri(1/6/2025)
RR
Montana(1/6/2025)
RR
Nebraska(1/6/2025)
RR
Nevada(1/6/2025)
RR
New Hampshire(1/6/2025)
RR
New Jersey(1/6/2025)
RR
New Mexico(1/6/2025)
RR
New York(1/6/2025)
RR
North Carolina(1/6/2025)
RR
North Dakota(1/6/2025)
RR
Oklahoma(1/6/2025)
RR
Oregon(1/6/2025)
RR
Pennsylvania(1/6/2025)
RR
Rhode Island(1/6/2025)
RR
South Carolina(12/20/2024)
RR
South Dakota(1/6/2025)
RR
Tennessee(1/6/2025)
RR
Texas(1/6/2025)
RR
Utah(1/6/2025)
RR
Vermont(1/6/2025)
RR
Virginia(1/6/2025)
RR
Washington(1/6/2025)
RR
West Virginia(1/6/2025)
RR
Wisconsin(1/6/2025)
RR
Wyoming(1/6/2025)
Exams
State Security Law Exam
State Security Law 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.
