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David Stone

Empower Financial Services, Inc.

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About David Stone

David Stone is a financial professional with over 15 years of experience in the financial services industry. David has a strong background in securities and investment advisory services, having held positions at several prominent firms including Northwestern Mutual Investment Services, LLC, Charles Schwab & Co., Inc., and TIAA-CREF Individual & Institutional Services, LLC. Currently, David is a registered representative with Empower Financial Services, Inc. where David provides a wide range of financial services to individuals and families.

Firm Information

David Stone 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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David Stone’s Registration & Firm History

CO

01/04/2021 - Present

Empower Financial Services, Inc. (GREENWOOD VILLAGE CO)

MA

01/17/2020 - 01/04/2021

MML DISTRIBUTORS, LLC (SPRINGFIELD MA)

CO

12/19/2017 - 09/05/2019

NUVEEN SECURITIES, LLC (Denver CO)

NY

07/12/2011 - 12/12/2017

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)

NE

07/02/2010 - 07/13/2011

FIRST NATIONAL CAPITAL MARKETS (OMAHA NE)

GA

02/22/2008 - 12/09/2008

PFS INVESTMENTS INC. (DULUTH GA)

CO

05/17/2006 - 03/30/2007

FORESIDE FUND SERVICES, LLC (DENVER CO)

MA

01/03/2005 - 05/04/2006

OLD MUTUAL INVESTMENT PARTNERS (BOSTON MA)

TX

05/25/2004 - 12/02/2004

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

WI

06/20/2003 - 03/31/2004

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)

TX

09/11/2000 - 07/05/2001

CHARLES SCHWAB & CO., INC. (WESTLAKE TX)

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Licenses & Designations

BC

Issued 07/16/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/08/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Stone.
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