Joshua O. Haynes
Professional summary
Joshua Owen Haynes, who also goes by Josh Owen Haynes, Joshua O Haynes, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Joshua is registered as a RR (Registered Representative) and started their career in finance in 2004. Joshua has worked at 11 firms and has passed the Series 66, Series 6TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joshua Owen Haynes's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 13, 2013 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111August 8, 2011 - February 26, 2013
P.J. ROBB VARIABLE, LLC
September 3, 2009 - April 15, 2010
PACER FINANCIAL, INC.
August 19, 2009 - April 15, 2010
PACER ADVISORS, INC.
March 7, 2006 - August 18, 2008
THE INSTITUTE
February 24, 2006 - July 7, 2009
RMIN SECURITIES, INC.
April 29, 2005 - March 16, 2006
1ST GLOBAL ADVISORS INC
April 29, 2005 - March 16, 2006
1ST GLOBAL CAPITAL CORP.
November 2, 2004 - March 25, 2005
MORGAN STANLEY DW INC.
May 26, 2004 - March 25, 2005
MORGAN STANLEY DW INC.
March 2, 2004 - May 17, 2004
IDS LIFE INSURANCE COMPANY
March 2, 2004 - May 17, 2004
AMERIPRISE FINANCIAL SERVICES, 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
(12/19/2016)
(3/13/2013)
(8/2/2023)
(8/2/2023)
(10/11/2024)
(10/24/2024)
(10/14/2024)
(3/13/2013)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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.
