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EM

Eric J. Masterson

EMPOWER FINANCIAL SERVICES
Greenwood Village, CO 80111
Some features on this profile are disabled
CRD#: 5285287
EM

Professional summary

Eric John Masterson, who also goes by Eric John Masterson, Eric Masterson, is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Eric is registered as a RR (Registered Representative) and started their career in finance in 2007. Eric has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Eric John Masterson | Eric Masterson

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 Eric John Masterson'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

July 3, 2019 - Present

EMPOWER FINANCIAL SERVICES, INC.

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

April 14, 2015 - June 26, 2019

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
Westwood, MA
Past

October 22, 2012 - April 15, 2015

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
WESTWOOD, MA
Past

November 25, 2008 - October 8, 2012

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

May 8, 2007 - November 10, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
HYANNIS, MA
Past

April 3, 2007 - November 10, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
HYANNIS, MA

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
Illinois
(7/3/2019)
RR
Indiana
(6/23/2025)
RR
Massachusetts
(7/3/2019)
RR
Minnesota
(7/3/2019)
RR
New Hampshire
(7/3/2019)
RR
New Jersey
(7/3/2019)
RR
New York
(7/3/2019)
RR
Virginia
(6/23/2025)
RR
West Virginia
(7/3/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/7/2007
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/2/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 4/9/2012
Investment Company Products/Variable Contracts Principal 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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