David Roger Lemoine

Empower Advisory Group, LLC

Greenwood Village, CO

CRD 5438997

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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

Authority	Category	Status	Date
CT	RA	APPROVED	2024-08-05

CT RA
APPROVED

Since 2024-08-05

Branch Locations

Manchester, CT • 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

Organization	City	State	From	To
Prudential Insurance Company Of America	Manchester	CT	10/2011	Present
Prudential Investment Management Services	Manchester	CT	10/2011	Present
Gwfs Equities, Inc.	Scranton	PA	04/2022	Present

10/2011 → Present

Prudential Insurance Company Of America

Manchester, CT
10/2011 → Present

Prudential Investment Management Services

Manchester, CT
04/2022 → Present

Gwfs Equities, Inc.

Scranton, PA

Previous Registrations

2008-04-07 → 2009-06-24

Waddell & Reed

Hartford, CT

Hamden, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-07-29
S66	Uniform Combined State Law Examination	2008-04-04

S65 Uniform Investment Adviser Law Examination

2024-07-29
S66 Uniform Combined State Law Examination

2008-04-04

Other Names

David Roger Lemoine
David Roger Lemoine

View on SEC IAPD

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