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CM

Chad E. Moseng

EMPOWER FINANCIAL SERVICES
Pelham, NH
Some features on this profile are disabled
CRD#: 4610536
CM

Professional summary

Chad Emery Moseng, who also goes by Chad E. Moseng, Chad Emery Moseng, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Pelham, New Hampshire.

Chad is registered as a RR (Registered Representative) and started their career in finance in 2011. Chad has worked at 4 firms and has passed the Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Chad E. Moseng | Chad Emery Moseng

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 Chad Emery Moseng'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

January 28, 2026 - Present

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
Pelham, NH
Past

January 31, 2025 - January 23, 2026

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

July 13, 2016 - March 29, 2021

PERSHING LLC

BD
CRD#: 7560
KING OF PRUSSIA, PA
Past

September 2, 2011 - June 25, 2016

JANNEY MONTGOMERY SCOTT LLC

BD
CRD#: 463
PHILADELPHIA, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 9/26/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/2011
General Securities 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.

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Company Information

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109Pelham, NH

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