NA
Nicholas Ashford
EMPOWER FINANCIAL SERVICES
Peoria, AZ
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CRD#: 5906216
NA
Professional summary
Nicholas Ashford is a registered financial professional currently at EMPOWER FINANCIAL SERVICES, INC. located in Peoria, Arizona.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2014. Nicholas has worked at 3 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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 Nicholas Ashford'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.
BD
CRD#: 13109
Peoria, AZ
Past
November 5, 2018 - January 4, 2021
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
PHOENIX, AZ
Past
October 25, 2017 - November 6, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
PHOENIX, AZ
Past
December 15, 2014 - October 23, 2017
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
PHOENIX, AZ
Past
June 16, 2014 - December 15, 2014
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
PHOENIX, AZ
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(4/28/2023)
RR
Alaska(4/28/2023)
RR
Arizona(1/4/2021)
RR
Arkansas(4/28/2023)
RR
California(4/28/2023)
RR
Connecticut(4/28/2023)
RR
Delaware(4/28/2023)
RR
Georgia(4/28/2023)
RR
Hawaii(4/28/2023)
RR
Idaho(4/28/2023)
RR
Illinois(4/28/2023)
RR
Indiana(4/28/2023)
RR
Iowa(4/28/2023)
RR
Kansas(4/28/2023)
RR
Kentucky(4/28/2023)
RR
Maine(4/28/2023)
RR
Massachusetts(4/28/2023)
RR
Michigan(4/28/2023)
RR
Minnesota(4/28/2023)
RR
Mississippi(4/28/2023)
RR
Missouri(4/28/2023)
RR
Montana(4/28/2023)
RR
Nebraska(4/28/2023)
RR
Nevada(4/28/2023)
RR
New Hampshire(4/28/2023)
RR
New Jersey(4/28/2023)
RR
New Mexico(4/28/2023)
RR
New York(4/28/2023)
RR
North Carolina(4/28/2023)
RR
North Dakota(4/28/2023)
RR
Oklahoma(4/28/2023)
RR
Oregon(4/28/2023)
RR
Pennsylvania(4/28/2023)
RR
Rhode Island(4/28/2023)
RR
South Carolina(4/28/2023)
RR
South Dakota(4/28/2023)
RR
Tennessee(4/28/2023)
RR
Texas(4/28/2023)
RR
Utah(4/28/2023)
RR
Vermont(4/28/2023)
RR
Virginia(4/28/2023)
RR
Washington(4/28/2023)
RR
West Virginia(4/28/2023)
RR
Wisconsin(4/28/2023)
RR
Wyoming(4/28/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
