PS
Paul D. Sedlacek
EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
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CRD#: 4753300
PS
Professional summary
Paul David Sedlacek JR, who also goes by Paul David Sedlacek, Paul David Sedlacek Jr, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2004. Paul has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Paul David Sedlacek | Paul David Sedlacek Jr
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 Paul David Sedlacek JR'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
January 4, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
October 30, 2014 - January 4, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ENFIELD, CT
Past
May 28, 2010 - April 8, 2014
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
BLOOMFIELD, CT
Past
February 4, 2009 - April 29, 2009
AXCELUS FINANCIAL DISTRIBUTION COMPANY
BD
CRD#: 38383
HARTFORD, CT
Past
June 22, 2007 - February 4, 2009
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
February 10, 2004 - June 18, 2007
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
HARTFORD, CT
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(8/18/2021)
RR
Alaska(8/18/2021)
RR
Arizona(8/18/2021)
RR
Arkansas(8/18/2021)
RR
California(8/18/2021)
RR
Connecticut(8/18/2021)
RR
Delaware(8/18/2021)
RR
Georgia(8/18/2021)
RR
Hawaii(8/18/2021)
RR
Idaho(8/18/2021)
RR
Illinois(8/18/2021)
RR
Indiana(8/18/2021)
RR
Iowa(8/18/2021)
RR
Kansas(8/18/2021)
RR
Kentucky(8/18/2021)
RR
Maine(8/18/2021)
RR
Massachusetts(8/18/2021)
RR
Michigan(8/18/2021)
RR
Minnesota(8/18/2021)
RR
Mississippi(8/18/2021)
RR
Missouri(8/18/2021)
RR
Montana(8/18/2021)
RR
Nebraska(8/18/2021)
RR
Nevada(8/18/2021)
RR
New Hampshire(8/18/2021)
RR
New Jersey(8/18/2021)
RR
New Mexico(8/18/2021)
RR
New York(8/18/2021)
RR
North Carolina(8/18/2021)
RR
North Dakota(8/18/2021)
RR
Oklahoma(8/18/2021)
RR
Oregon(8/18/2021)
RR
Pennsylvania(8/18/2021)
RR
Rhode Island(8/18/2021)
RR
South Carolina(8/18/2021)
RR
South Dakota(8/18/2021)
RR
Tennessee(8/18/2021)
RR
Texas(8/18/2021)
RR
Utah(8/18/2021)
RR
Vermont(8/18/2021)
RR
Virginia(8/18/2021)
RR
Washington(8/18/2021)
RR
West Virginia(8/18/2021)
RR
Wisconsin(8/18/2021)
RR
Wyoming(8/18/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
