JD
John R. Dorso
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
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CRD#: 4430738
JD
Professional summary
John Richard Dorso, who also goes by John Richard Dorso Jr., John Richard Dorso, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
John is registered as a RR (Registered Representative) and started their career in finance in 2002. John has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
John Richard Dorso Jr. | John Richard Dorso
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 John Richard Dorso'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
October 12, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
February 5, 2020 - December 31, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Wellesley, MA
Past
February 5, 2020 - November 1, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Wellesley, MA
Past
March 19, 2018 - February 6, 2020
CUSO FINANCIAL SERVICES, L.P.
RIA
CRD#: 42132
Port Chester, NY
Past
February 26, 2018 - February 6, 2020
CUSO FINANCIAL SERVICES, L.P.
BD
CRD#: 42132
Port Chester, NY
Past
April 5, 2016 - January 30, 2017
TD AMERITRADE, INC.
RIA
CRD#: 7870
BOSTON, MA
Past
April 5, 2016 - January 30, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
Boston, MA
Past
March 28, 2016 - January 30, 2017
TD AMERITRADE, INC.
BD
CRD#: 7870
BOSTON, MA
Past
May 4, 2015 - March 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
May 4, 2015 - March 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
April 17, 2013 - August 21, 2014
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
NORWOOD, MA
Past
April 21, 2010 - August 21, 2014
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
NORWOOD, MA
Past
October 20, 2004 - February 24, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
NEWTON, MA
Past
May 21, 2004 - October 20, 2004
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
March 5, 2002 - May 27, 2004
APEX CLEARING CORPORATION
BD
CRD#: 13071
DALLAS, TX
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(10/12/2023)
RR
Alaska(10/12/2023)
RR
Arizona(10/12/2023)
RR
Arkansas(10/12/2023)
RR
California(10/12/2023)
RR
Connecticut(10/12/2023)
RR
Delaware(10/12/2023)
RR
Georgia(10/12/2023)
RR
Hawaii(10/12/2023)
RR
Idaho(10/12/2023)
RR
Illinois(10/12/2023)
RR
Indiana(10/12/2023)
RR
Iowa(10/12/2023)
RR
Kansas(10/12/2023)
RR
Kentucky(10/12/2023)
RR
Maine(10/12/2023)
RR
Massachusetts(10/12/2023)
RR
Michigan(10/12/2023)
RR
Minnesota(10/12/2023)
RR
Mississippi(10/12/2023)
RR
Missouri(10/12/2023)
RR
Montana(10/12/2023)
RR
Nebraska(10/12/2023)
RR
Nevada(10/12/2023)
RR
New Hampshire(10/12/2023)
RR
New Jersey(10/12/2023)
RR
New Mexico(10/12/2023)
RR
New York(10/12/2023)
RR
North Carolina(10/12/2023)
RR
North Dakota(10/12/2023)
RR
Oklahoma(10/12/2023)
RR
Oregon(10/12/2023)
RR
Pennsylvania(10/12/2023)
RR
Rhode Island(10/12/2023)
RR
South Carolina(10/12/2023)
RR
South Dakota(10/12/2023)
RR
Tennessee(10/12/2023)
RR
Texas(10/12/2023)
RR
Utah(10/12/2023)
RR
Vermont(10/12/2023)
RR
Virginia(10/12/2023)
RR
Washington(10/12/2023)
RR
West Virginia(10/12/2023)
RR
Wisconsin(10/12/2023)
RR
Wyoming(10/12/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
