David Stone
Professional summary
David Stone, who also goes by David Aaron Wiener, David Wiener, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
David is registered as a RR (Registered Representative) and started their career in finance in 2000. David has worked at 10 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Stone's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 4, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111January 17, 2020 - January 4, 2021
MML DISTRIBUTORS, LLC
December 19, 2017 - September 5, 2019
NUVEEN SECURITIES, LLC
July 12, 2011 - December 12, 2017
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
July 2, 2010 - July 13, 2011
FIRST NATIONAL CAPITAL MARKETS
February 22, 2008 - December 9, 2008
PFS INVESTMENTS INC.
May 17, 2006 - March 30, 2007
FORESIDE FUND SERVICES, LLC
January 3, 2005 - May 4, 2006
OLD MUTUAL INVESTMENT PARTNERS
May 25, 2004 - December 2, 2004
CHARLES SCHWAB & CO., INC.
June 20, 2003 - March 31, 2004
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 11, 2000 - July 5, 2001
CHARLES SCHWAB & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/17/2025)
(1/4/2021)
(4/21/2025)
(1/4/2021)
(1/4/2021)
(6/17/2025)
(1/4/2021)
(1/11/2024)
(4/21/2025)
Exams
FINRA
Current 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
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.
