Donny A. Dutton
Professional summary
Donny Alex Dutton, CFP® is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Raleigh, North Carolina.
Donny is registered as a RR (Registered Representative) and started their career in finance in 2000. Donny has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Donny Alex Dutton's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 4, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 3100 Smoketree Court Suite 1004, Raleigh, NC 27604January 28, 2020 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
October 15, 2014 - January 10, 2020
TRANSAMERICA RETIREMENT ADVISORS, LLC
December 1, 2011 - January 10, 2020
TRANSAMERICA INVESTORS SECURITIES, LLC
July 31, 2006 - November 22, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 31, 2006 - November 22, 2011
WELLS FARGO CLEARING SERVICES, LLC
November 15, 2005 - June 30, 2006
BB&T INVESTMENT SERVICES, INC.
November 15, 2005 - June 30, 2006
BB&T INVESTMENT SERVICES, INC.
December 16, 2004 - November 9, 2005
A. G. EDWARDS & SONS, INC.
December 16, 2004 - November 9, 2005
A. G. EDWARDS & SONS, INC.
July 1, 2003 - November 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - November 23, 2004
WELLS FARGO CLEARING SERVICES, LLC
December 31, 2001 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
December 4, 2000 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/4/2022)
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
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Company Information
EMPOWER FINANCIAL SERVICES, INC.
CRD#: 13109Raleigh, NC 27604TRUST BUT VERIFY
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