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RW

Richard V. Welch

EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 4275027
RW

Professional summary

Richard Vernon Welch is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 15 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 31, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Vernon Welch's CRS (Customer Relationship Summary).
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®
None

Experience

Current

November 8, 2021 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111
BD
CRD#: 13109
Greenwood Village, CO
Past

April 13, 2015 - December 4, 2017

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
Brenham, TX
Past

April 9, 2015 - December 4, 2017

CAPITAL ONE ADVISORS, LLC

RIA
CRD#: 136865
PORT ARTHUR, TX
Past

March 7, 2011 - April 25, 2013

TD AMERITRADE, INC.

RIA
CRD#: 7870
HOUSTON, TX
Past

March 7, 2011 - April 25, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
HOUSTON, TX
Past

February 24, 2011 - April 25, 2013

TD AMERITRADE, INC.

BD
CRD#: 7870
HOUSTON, TX
Past

October 27, 2010 - December 22, 2010

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
HOUSTON, TX
Past

August 25, 2009 - May 21, 2010

PFS INVESTMENTS INC.

BD
CRD#: 10111
HOUSTON, TX
Past

April 8, 2008 - August 28, 2008

BOK FINANCIAL ASSET MANAGEMENT, INC.

RIA
CRD#: 106507
HOUSTON, TX
Past

April 8, 2008 - September 9, 2008

MBM SECURITIES, INC.

BD
CRD#: 124850
HOUSTON, TX
Past

October 30, 2003 - March 24, 2008

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
HOUSTON, TX
Past

October 28, 2003 - March 24, 2008

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
HOUSTON, TX
Past

June 3, 2003 - September 11, 2003

WESTCOTT SECURITIES, LLC

BD
CRD#: 45532
HOUSTON, TX
Past

March 10, 2003 - June 3, 2003

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
HOUSTON, TX
Past

March 10, 2003 - June 3, 2003

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

March 10, 2003 - June 3, 2003

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

June 29, 2001 - March 10, 2003

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
WEBSTER, TX
Past

June 29, 2001 - March 10, 2003

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY
Past

October 3, 2000 - July 3, 2001

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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
(11/12/2021)
RR
Alaska
(11/15/2021)
RR
Arizona
(11/19/2021)
RR
Arkansas
(11/10/2021)
RR
California
(11/9/2021)
RR
Connecticut
(11/12/2021)
RR
Delaware
(11/10/2021)
RR
Georgia
(11/9/2021)
RR
Hawaii
(3/29/2022)
RR
Idaho
(11/9/2021)
RR
Illinois
(12/16/2021)
RR
Indiana
(11/17/2021)
RR
Iowa
(11/9/2021)
RR
Kansas
(11/9/2021)
RR
Kentucky
(11/12/2021)
RR
Maine
(11/9/2021)
RR
Massachusetts
(11/9/2021)
RR
Michigan
(11/10/2021)
RR
Minnesota
(11/15/2021)
RR
Mississippi
(11/10/2021)
RR
Missouri
(11/9/2021)
RR
Montana
(11/26/2021)
RR
Nebraska
(11/10/2021)
RR
Nevada
(11/24/2021)
RR
New Hampshire
(11/15/2021)
RR
New Jersey
(11/10/2021)
RR
New Mexico
(11/10/2021)
RR
New York
(11/21/2021)
RR
North Carolina
(11/10/2021)
RR
North Dakota
(11/15/2021)
RR
Oklahoma
(11/10/2021)
RR
Oregon
(11/17/2021)
RR
Pennsylvania
(11/10/2021)
RR
Rhode Island
(11/12/2021)
RR
South Carolina
(11/29/2021)
RR
South Dakota
(11/30/2021)
RR
Tennessee
(11/9/2021)
RR
Texas
(11/9/2021)
RR
Utah
(11/12/2021)
RR
Vermont
(11/10/2021)
RR
Virginia
(11/9/2021)
RR
Washington
(11/10/2021)
RR
West Virginia
(11/16/2021)
RR
Wisconsin
(11/10/2021)
RR
Wyoming
(11/19/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 10/29/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/9/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/22/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/6/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/4/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 7/19/2001
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/2/2000
Investment Company Products/Variable Contracts Representative Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
EMPOWER ANNUITY INSURANCE COMPANY OF AMERICASHAREHOLDER
BARRES, STEPHANIECOMPLIANCE OFFICER2203746
BRETON, HUGOBOARD DIRECTOR8128232
CHRISTOLINI, JOHNCHIEF COMPLIANCE OFFICER4141296
COCHRAN, SHANNON MARIECOMPLIANCE OFFICER4948393
CORDISCO, MEREDITHVP, COMPLIANCE8189199
CRAIG, CASEY RSENIOR VICE PRESIDENT4680712
ETTINGER, ROBERT DANIELFINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER, VP, TREASURER5593259
HUDSON, BROCKETT RICEASSISTANT SECRETARY6520983
KAVAN, ADAMASSISTANT GENERAL COUNSEL7155499
LINTON, RICHARD HENRY JREXECUTIVE VICE PRESIDENT AND DIRECTOR2107513
MCLEOD, DAVID GEORGEBOARD DIRECTOR3041563
MORRISON, DANIEL ARTHURSENIOR VICE PRESIDENT4078410
PATEL, PALAKSECRETARY7665103
SECOR, STEPHANIE ANNEVP, COMPLIANCE1454139
SMOLEN, JOSEPH MICHAELSENIOR VICE PRESIDENT4100909
STILLMAN, STEVEN JAMESBOARD DIRECTOR4870117
WADDELL, CAROL ELAINECHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER4867556

Disclosures

Regulatory Event5
Arbitration1

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.

Company Information

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109Greenwood Village, CO 80111

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