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Employer firm

Empower Advisory Group, LLC CRD 112058

$195B regulatory AUM 24 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Empower Advisory Group, Llc

8515 East Orchard Rd 4T2, Greenwood Village, CO 80111 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2021-09-15
  • WI RA
    APPROVED
    Since 2021-09-15

Branch Locations

Hazel Green, WI • United States

8515 East Orchard Rd 4T2, Greenwood Village, CO 80111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Prudential Investment Management Services Llc Dubuque IA 04/2005 08/2021
Global Portfolio Strategies, Inc. Dubuque IA 10/2006 12/2018
The Prudential Insurance Company Of America Dubuque IA 04/2005 08/2021
Prudential Customer Solutions Llc Dubuque IA 05/2019 08/2021
Gwfs Equities, Inc Greenwood Village CO 08/2021 Present
  • 04/2005 → 08/2021
    Prudential Investment Management Services Llc
    Dubuque, IA
  • 10/2006 → 12/2018
    Global Portfolio Strategies, Inc.
    Dubuque, IA
  • 04/2005 → 08/2021
    The Prudential Insurance Company Of America
    Dubuque, IA
  • 05/2019 → 08/2021
    Prudential Customer Solutions Llc
    Dubuque, IA
  • 08/2021 → Present
    Gwfs Equities, Inc
    Greenwood Village, CO
Previous Registrations
  • 2019-05-31 → 2020-11-28
    Dubuque, IA
  • 2006-10-23 → 2018-12-31
    Global Portfolio Strategies, Inc.
    Dubuque, IA
    Hartford, CT
  • 2002-08-21 → 2005-04-30
    Prudential Retirement Brokerage Services, Inc.
    Dubuque, IA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-08-20
S63 Uniform Securities Agent State Law Examination 2000-07-20
  • S65 Uniform Investment Adviser Law Examination
    2002-08-20
  • S63 Uniform Securities Agent State Law Examination
    2000-07-20

View on SEC IAPD

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