Carol Elaine Waddell
Professional Summary
Carol Elaine Waddell, who also goes by Carol Elaine Waddell Miss, is a registered financial advisor currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado. Carol is registered as a RR (Registered Representative) and started their career in finance in 2008. Carol has worked at 3 firms and has passed the Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Carol Elaine Waddell Miss
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
18 years in the financial services industry
Current & Past Employments
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Current Firm
AMERICAN CAPITAL PLANNING, INC. | MAZER, HOWARD BARRY | GWFS EQUITIES, INC. | EMPOWER FINANCIAL SERVICES, INC. | BENEFITSCORP EQUITIES, INC. | BENEFITS COMMUNICATION CORPORATION
Contact Information
Main Address
8515 E Orchard Road, Greenwood Village, CO 80111Mailing Address
8525 East Orchard Road 2t3, Greenwood Village, CO, 80111-5002Phone Number
(303) 737-2657Established
Delaware since 10/12/1984Firm Type
CorporationFiscal Year End
DecemberFirm Size
LargeFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| KAVAN, ADAM | ASSISTANT GENERAL COUNSEL | 7155499 |
| LINTON, RICHARD HENRY JR | EXECUTIVE VICE PRESIDENT | 2107513 |
| MCLEOD, DAVID GEORGE | BOARD DIRECTOR | 3041563 |
| PATEL, PALAK | SECRETARY | 7665103 |
| SECOR, STEPHANIE ANNE | VP, COMPLIANCE | 1454139 |
| SMOLEN, JOSEPH MICHAEL | DIRECTOR AND SENIOR VICE PRESIDENT | 4100909 |
| STILLMAN, STEVEN JAMES | BOARD DIRECTOR | 4870117 |
| THOMAS, ELENA ETHELDRA | VICE PRESIDENT | 8162940 |
| WADDELL, CAROL ELAINE | CHAIR, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 4867556 |
Disclosures
Regulatory Event
5Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Mar 2008About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Carol Elaine Waddell's CRS (Customer Relationship Summary).
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