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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
MA RA APPROVED 2018-12-06
  • MA RA
    APPROVED
    Since 2018-12-06

Branch Locations

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

North Andover, MA • 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. Andover MA 06/2013 Present
  • 06/2013 → Present
    Gwfs Equities, Inc.
    Andover, MA
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-12-09
S63 Uniform Securities Agent State Law Examination 2007-08-03
S65 Uniform Investment Adviser Law Examination 1994-10-13
  • S66 Uniform Combined State Law Examination
    2010-12-09
  • S63 Uniform Securities Agent State Law Examination
    2007-08-03
  • S65 Uniform Investment Adviser Law Examination
    1994-10-13
Other Names
  • Bear Armstrong Smith
  • Bear Smith
  • Nathaniel A Smith

View on SEC IAPD

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