David Romero

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 12/2013 → 10/2020
  Transamerica Capital Inc
  Denver, CO
• 11/2020 → 01/2021
  Unemployed
  Denver, CO
• 02/2021 → Present
  Empower Retirement
  Denver, CO

Previous Registrations

• 2008-11-26 → 2009-10-30
  Chase Investment Services Corp.
  Parker, CO
  Centennial, CO
  Castle Rock, CO
  Littleton, CO

Other Businesses

Attitude and Action Non-investment related 8358 Briar Trace Way Castle Pines, CO 80180 Baseball youth pitching consultation and instruction. Lead Instructor is position Owner is title 2010 start date of relationship 2 hours per month devoted to business 0 hours devoted during securities trading hours Duties - provide one on one pitching consultation to youth baseball player and parents.

Exams

• S66 Uniform Combined State Law Examination
  2021-03-30
• S65 Uniform Investment Adviser Law Examination
  2008-11-24
• S63 Uniform Securities Agent State Law Examination
  1997-12-20

Other Names

• David Patrick Romero