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Steven Leslie Baru

Empower Financial Services, Inc.

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About Steven Leslie Baru

Steven Leslie Baru is a financial advisor with over 30 years of experience in the industry. Steven has a strong background in the financial services sector, having worked for several reputable firms including Bankers & Investors Co., TIAA-CREF Individual & Institutional Services, LLC, Moloney Securities Co., Inc., Nations Financial Group, Inc., Archer Alexander Securities Corporation, Berthel, Fisher & Company Financial Services, Inc., Dean Witter Reynolds Inc. and Paine Webber Incorporated. Currently, Steven is affiliated with Empower Financial Services, Inc., a leading financial services provider.

Firm Information

Steven Baru 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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Steven Baru’s Registration & Firm History

KS

06/01/2015 - Present

Empower Financial Services, Inc. (OVERLAND PARK KS)

KS

08/09/2011 - 06/03/2013

BANKERS & INVESTORS CO. (KANSAS CITY KS)

CO

03/30/2011 - 06/27/2011

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)

MO

02/05/2004 - 03/23/2011

MOLONEY SECURITIES CO., INC. (MANCHESTER MO)

IA

12/20/2003 - 02/04/2004

NATIONS FINANCIAL GROUP, INC. (CEDAR RAPIDS IA)

MO

05/02/2000 - 12/19/2003

ARCHER ALEXANDER SECURITIES CORPORATION (KANSAS CITY MO)

IA

09/26/1994 - 04/24/2000

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. (CEDAR RAPIDS IA)

NY

03/12/1990 - 04/04/1994

DEAN WITTER REYNOLDS INC. (PURCHASE NY)

NJ

08/20/1987 - 03/03/1990

PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)

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Licenses & Designations

IA

Issued 05/09/2001

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 08/26/1987

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/15/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 6 public disclosures for Steven Leslie Baru. Review regulatory record here.
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