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Mark Stone
MARK ARTHUR STONE MR, MARK ARTHUR STONE
CRD#: 4692252
IA
B
EMPOWER ADVISORY GROUP, LLCCRD#: 112058 8515 EAST ORCHARD RD 4T2
GREENWOOD VILLAGE, CO 80111
GREENWOOD VILLAGE, CO 80111
EMPOWER FINANCIAL SERVICES, INC.CRD#: 13109 8515 E. ORCHARD RD
GREENWOOD VILLAGE, CO 80111
GREENWOOD VILLAGE, CO 80111
0
Disclosures
16
Years of Experience
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State Registrations
IA
Colorado 10/26/2015
B
Nebraska 7/25/2017
B
Colorado 7/25/2017
SRO Registrations
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IA
Registered with this firm since 10/26/2015
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Registered with this firm since 7/25/2017
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 09/02/2014 - 09/02/2015 | ENGLEWOOD, CO | |
B | 10/11/2011 - 09/02/2014 | ENGLEWOOD, CO | |
B | 07/19/2010 - 06/24/2011 | SAN FRANCISCO, CA | |
IA | 04/26/2005 - 06/21/2006 | SAN FRANCISCO, CA | |
B | 04/26/2005 - 06/21/2006 | NEW YORK, NY | |
B | 12/16/2003 - 04/18/2005 | MINNEAPOLIS, MN | |
B | 12/16/2003 - 04/18/2005 | MINNEAPOLIS, MN | |
IA | 10/23/2003 - 11/21/2003 | WALNUT CREEK, CA | |
B | 10/09/2003 - 11/21/2003 | MINNEAPOLIS, MN | |
B | 10/09/2003 - 11/21/2003 | MINNEAPOLIS, MN |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.