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Daniel Mark Goldfarb

Empower Advisory Group, LLC

Solon, OH

Greenwood Village, CO

CRD 5012141

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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
OH RA APPROVED 2023-04-03
  • OH RA
    APPROVED
    Since 2023-04-03

Branch Locations

Solon, OH • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
The Prudential Insurance Company Of Amercia Newark NJ 05/2016 09/2017
Pruco Securities, Llc Newark NJ 05/2016 09/2017
Lpl Financial Llc Brecksville OH 10/2017 05/2020
Planned Financial Services Brecksville OH 12/2016 05/2020
Resource Strategies, Inc. Pepper Pike OH 05/2020 03/2021
Valmark Securities, Inc. Akron OH 05/2020 03/2021
Personal Capital Advisors Corporation Solon OH 06/2021 04/2023
Empower Advisory Group, Llc Greenwood Village CO 04/2023 Present
Empower Financial Services, Inc Greenwood Village CO 08/2023 Present
  • 05/2016 → 09/2017
    The Prudential Insurance Company Of Amercia
    Newark, NJ
  • 05/2016 → 09/2017
    Newark, NJ
  • 10/2017 → 05/2020
    Lpl Financial Llc
    Brecksville, OH
  • 12/2016 → 05/2020
    Planned Financial Services
    Brecksville, OH
  • 05/2020 → 03/2021
    Resource Strategies, Inc.
    Pepper Pike, OH
  • 05/2020 → 03/2021
    Valmark Securities, Inc.
    Akron, OH
  • 06/2021 → 04/2023
    Personal Capital Advisors Corporation
    Solon, OH
  • 04/2023 → Present
    Greenwood Village, CO
  • 08/2023 → Present
    Empower Financial Services, Inc
    Greenwood Village, CO
Previous Registrations
Other Businesses

1) Solon Chamber of Commerce; Solon, OH; Board of Directors/Secretary for Non-profit organization in support of local businesses; Participate in the Board's decision making for the Chamber of Commerce and take meeting minutes monthly; Volunteer position; no compensation. /// 2) College Consultants Group / Founder, Owner. Manage all aspects of Education Consulting business. Up to 20 hours per month; 0 during normal business hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-10-27
  • S66 Uniform Combined State Law Examination
    2005-10-27
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant
Other Names
  • Dan Goldfarb

View on SEC IAPD

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