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Barbara Ann Upton

Empower Financial Services, Inc.

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About Barbara Ann Upton

Barbara Ann Upton is a financial advisor in Greenwood Village, CO, who has been in the industry since 1993. Currently, Barbara is registered with Empower Financial Services, Inc., a firm that has been in operation since January 2021. Barbara has been employed at Empower Financial Services, Inc. since January 4, 2021. Prior to working with Empower Financial Services, Inc., Barbara was also registered with MML STRATEGIC DISTRIBUTORS, LLC from June 21, 2016 to January 4, 2021. Barbara also held previous positions with MML DISTRIBUTORS, LLC and MML INVESTORS SERVICES, LLC and G. R. PHELPS & CO., INC. Barbara Upton is licensed to provide financial services in Connecticut.

Firm Information

Barbara Upton is currently registered with Empower Financial Services, Inc.. Empower Financial Services, Inc. is a Corporation formed in 1984-10-12. It is registered in 53 states and has been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

1,120

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Barbara Upton’s Registration & Firm History

CO

01/04/2021 - Present

Empower Financial Services, Inc. (GREENWOOD VILLAGE CO)

CT

06/21/2016 - 01/04/2021

MML STRATEGIC DISTRIBUTORS, LLC (Enfield CT)

CT

04/08/2004 - 01/04/2021

MML DISTRIBUTORS, LLC (ENFIELD CT)

CT

03/01/1996 - 01/04/2021

MML INVESTORS SERVICES, LLC (ENFIELD CT)

NA

05/25/1993 - 03/01/1996

G. R. PHELPS & CO., INC.

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Licenses & Designations

BC

Issued 02/04/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/29/2008

Series 53 - Municipal Securities Principal Examination

BC

Issued 10/25/1993

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/20/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Barbara Ann Upton.
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