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XP

Xavier J. Pol

EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 4968515
XP

Professional summary

Xavier Jose Pol, who also goes by Xavier J Pol, Xavier Pol, Xavier Jose Pol, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Xavier is registered as a RR (Registered Representative) and started their career in finance in 2005. Xavier has worked at 14 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Xavier J Pol | Xavier Pol | Xavier Jose Pol

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 Xavier Jose Pol'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

October 20, 2025 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111
BD
CRD#: 13109
Greenwood Village, CO
Past

July 30, 2025 - September 29, 2025

OSAIC INSTITUTIONS, INC.

RIA
CRD#: 35371
Clarksville, TN
Past

May 23, 2025 - September 29, 2025

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
Clarksville, TN
Past

February 1, 2023 - March 19, 2025

ALLIANCEBERNSTEIN INVESTMENTS, INC.

BD
CRD#: 14549
Nashville, TN
Past

November 19, 2019 - January 9, 2023

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY
Past

September 11, 2019 - October 10, 2019

EDWARD JONES

RIA
CRD#: 250
Hermitage, TN
Past

August 12, 2019 - October 10, 2019

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

February 19, 2016 - September 20, 2018

AUGUSTAR DISTRIBUTORS, INC.

BD
CRD#: 41081
CINCINNATI, OH
Past

September 15, 2015 - November 19, 2015

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
DENVER, CO
Past

May 6, 2015 - June 16, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
NASHVILLE, TN
Past

July 1, 2014 - April 14, 2015

ALLSTATE FINANCIAL SERVICES, LLC

BD
CRD#: 18272
HENDERSONVILLE, TN
Past

July 15, 2013 - July 7, 2014

NEW ENGLAND SECURITIES

BD
CRD#: 615
BRENTWOOD, TN
Past

May 7, 2008 - March 8, 2013

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
FRANKLIN, TN
Past

October 5, 2007 - January 31, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ENGLEWOOD, CO
Past

October 4, 2007 - January 31, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ENGLEWOOD, CO
Past

January 26, 2006 - July 23, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
WESTMINSTER, CO
Past

January 26, 2006 - July 23, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
WESTMINSTER, CO
Past

September 26, 2005 - December 6, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
DENVER, CO
Past

August 5, 2005 - December 6, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 5, 2005 - December 6, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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
(10/20/2025)
RR
Alaska
(10/20/2025)
RR
Arizona
(10/20/2025)
RR
Arkansas
(10/20/2025)
RR
California
(10/20/2025)
RR
Connecticut
(10/20/2025)
RR
Delaware
(10/20/2025)
RR
Georgia
(10/20/2025)
RR
Hawaii
(10/20/2025)
RR
Idaho
(10/20/2025)
RR
Illinois
(10/20/2025)
RR
Indiana
(10/20/2025)
RR
Iowa
(10/20/2025)
RR
Kansas
(10/20/2025)
RR
Kentucky
(10/20/2025)
RR
Maine
(10/20/2025)
RR
Massachusetts
(10/20/2025)
RR
Michigan
(10/20/2025)
RR
Minnesota
(10/20/2025)
RR
Mississippi
(10/20/2025)
RR
Missouri
(10/20/2025)
RR
Montana
(10/20/2025)
RR
Nebraska
(10/20/2025)
RR
Nevada
(10/20/2025)
RR
New Hampshire
(10/20/2025)
RR
New Jersey
(10/20/2025)
RR
New Mexico
(10/20/2025)
RR
New York
(10/20/2025)
RR
North Carolina
(10/20/2025)
RR
North Dakota
(10/20/2025)
RR
Oklahoma
(10/20/2025)
RR
Oregon
(10/20/2025)
RR
Pennsylvania
(10/20/2025)
RR
Rhode Island
(10/20/2025)
RR
South Carolina
(10/20/2025)
RR
South Dakota
(10/20/2025)
RR
Tennessee
(10/20/2025)
RR
Texas
(10/20/2025)
RR
Utah
(10/20/2025)
RR
Vermont
(10/20/2025)
RR
Virginia
(10/20/2025)
RR
Washington
(10/20/2025)
RR
West Virginia
(10/20/2025)
RR
Wisconsin
(10/20/2025)
RR
Wyoming
(10/20/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 7/23/2025
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/20/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/4/2005
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.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109Greenwood Village, CO 80111

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