Best Investors Account Sign in
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
NY RA APPROVED 2024-11-12
  • NY RA
    APPROVED
    Since 2024-11-12

Branch Locations

Brooklyn, NY • United States

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

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Gwfs Equities, Inc Lawrence MA 11/2021 Present
New York Life Insurance Company Brooklyn NY 09/2020 09/2021
Unemployed Brooklyn NY 09/2015 09/2020
  • 11/2021 → Present
    Gwfs Equities, Inc
    Lawrence, MA
  • 09/2020 → 09/2021
    New York Life Insurance Company
    Brooklyn, NY
  • 09/2015 → 09/2020
    Unemployed
    Brooklyn, NY
Other Businesses

My wife and her parents and siblings are partners in a Real Estate investment. I am not involved in that business however, my wife and I file our taxes jointly so I feel the need to disclose. Regency Manor Associates LLC 41 Legion Drive, Bergenfield, NJ 07621 Business is not investment related Nature of business: Real Estate I hold no position, no title, no relationship, no duties, and no time spent doing anything with this outside business

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-10-30
S63 Uniform Securities Agent State Law Examination 2022-06-28
  • S65 Uniform Investment Adviser Law Examination
    2024-10-30
  • S63 Uniform Securities Agent State Law Examination
    2022-06-28
Other Names
  • Joseph J Ruiz
  • Joseph James Ruiz

View on SEC IAPD

More in Brooklyn, NY

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor