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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
NY RA APPROVED 2024-04-02
  • NY RA
    APPROVED
    Since 2024-04-02

Branch Locations

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

Amawalk, NY • 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 Yorktown Heights NY 04/2013 04/2022
Prudential Insurance Company Of America Yorktown Heights NY 04/2013 04/2022
Gwfs Equities, Inc. New York NY 04/2022 Present
Empower Advisory Group, Llc Greenwood Village CO 04/2024 Present
  • 04/2013 → 04/2022
    Prudential Investment Management Services
    Yorktown Heights, NY
  • 04/2013 → 04/2022
    Prudential Insurance Company Of America
    Yorktown Heights, NY
  • 04/2022 → Present
    Gwfs Equities, Inc.
    New York, NY
  • 04/2024 → Present
    Greenwood Village, CO
Other Businesses

Self / Receiving trailing commissions only on previously sold business prior to 7/17/23. No selling or servicing.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-12-09
  • S63 Uniform Securities Agent State Law Examination
    1991-12-09
Designations
  • Certified Financial Planner

View on SEC IAPD

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