Allison F. Capranelli
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Allison Faye Capranelli, who also goes by Allison Faye Cole, Allison Faye Raymond, Allison Faye Tierney, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 2001. Allison had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2015 - September 12, 2016
EMPOWER FINANCIAL SERVICES, INC.
August 30, 2012 - April 22, 2014
KEY INVESTMENT SERVICES LLC
August 29, 2012 - April 22, 2014
KEY INVESTMENT SERVICES LLC
October 15, 2010 - April 27, 2012
PNC MANAGED ACCOUNT SOLUTIONS, INC.
September 23, 2010 - October 15, 2010
ST JOHNS WEALTH MANAGEMENT
September 17, 2010 - April 27, 2012
BBVA COMPASS INVESTMENT SOLUTIONS, INC
August 5, 2009 - August 6, 2010
U.S. BANCORP INVESTMENTS, INC.
October 24, 2007 - August 6, 2010
U.S. BANCORP INVESTMENTS, INC.
November 8, 2004 - October 17, 2007
BBVA COMPASS INVESTMENT SOLUTIONS, INC
December 8, 2003 - September 20, 2004
BANC ONE SECURITIES CORPORATION
January 6, 2003 - November 24, 2003
NATIONAL PLANNING CORPORATION
August 3, 2001 - December 19, 2002
SIMMERS CAPITAL MANAGEMENT CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
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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