Cynthia A. Castelli
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.
Cynthia Ann Castelli, who also goes by Cindy Ann Castelli, Cindy Castelli, Cynthia Cicchirillo, was a registered financial professional .
Cynthia is a previously registered financial professional and started their career in finance in 2003. Cynthia had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2021 - April 11, 2023
EMPOWER FINANCIAL SERVICES, INC.
January 2, 2013 - January 4, 2021
MML DISTRIBUTORS, LLC
January 17, 2012 - January 2, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
September 9, 2011 - January 11, 2012
SWBC INVESTMENT ADVISORY SERVICES LLC
August 25, 2010 - September 14, 2011
SWBC INVESTMENT COMPANY
August 16, 2010 - September 30, 2011
SWBC INVESTMENT SERVICES, LLC
January 1, 2007 - August 2, 2010
STANCORP INVESTMENT ADVISERS, INC.
January 1, 2007 - August 2, 2010
STANCORP EQUITIES, INC.
September 6, 2005 - January 1, 2007
INVESMART ADVISORS INC
November 3, 2003 - January 1, 2007
INVESMART SECURITIES, 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
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
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.
