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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
PA RA APPROVED 2023-04-11
  • PA RA
    APPROVED
    Since 2023-04-11

Branch Locations

Philadelphia, PA • 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
OrganizationCityStateFromTo
The Vanguard Group, Inc. Charlotte NC 07/2013 01/2019
The Vanguard Group, Inc. Malvern PA 01/2019 08/2020
E*Trade Securities Llc King Of Prussia PA 08/2020 01/2021
E*Trade Capital Management Llc King Of Prussia PA 08/2020 01/2021
E*Trade Securities Llc Berwyn PA 01/2021 03/2023
E*Trade Capital Management Llc Berwyn PA 01/2021 03/2023
Morgan Stanley Berwyn PA 01/2023 03/2023
Empower Financial Services, Inc Greenwood Village CO 02/2023 Present
Empower Advisory Group, Llc Greenwood Village CO 02/2023 Present
  • 07/2013 → 01/2019
    The Vanguard Group, Inc.
    Charlotte, NC
  • 01/2019 → 08/2020
    The Vanguard Group, Inc.
    Malvern, PA
  • 08/2020 → 01/2021
    E*Trade Securities Llc
    King Of Prussia, PA
  • 08/2020 → 01/2021
    E*Trade Capital Management Llc
    King Of Prussia, PA
  • 01/2021 → 03/2023
    E*Trade Securities Llc
    Berwyn, PA
  • 01/2021 → 03/2023
    E*Trade Capital Management Llc
    Berwyn, PA
  • 01/2023 → 03/2023
    Morgan Stanley
    Berwyn, PA
  • 02/2023 → Present
    Empower Financial Services, Inc
    Greenwood Village, CO
  • 02/2023 → Present
    Greenwood Village, CO
Previous Registrations
  • 2020-08-19 → 2023-03-28
    Harrisdirect Llc
    Berwyn, PA
    King Of Prussia, PA
    Arlington, VA
    West Conshohocken, PA
  • 2018-06-06 → 2020-08-25
    Charlotte, NC
    Malvern, PA
Other Businesses

1) OKB Select LLC; Investment Related: No; 9716 Read Rd St. B PMB 1255 Charlotte, NC 28277; Real Estate; Committee Member; 02/16/2021; Hours devoted to business: 10; Hours devoted during Securities business: 0; Find potential rental properties. 2) The Intersection Social Club / Event Coordinator Officer. Event planning for networking events in the Philadelphia area. 10 hours per month; 0 during normal business hours.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-06-06
S63 Uniform Securities Agent State Law Examination 2013-08-14
  • S65 Uniform Investment Adviser Law Examination
    2018-06-06
  • S63 Uniform Securities Agent State Law Examination
    2013-08-14

View on SEC IAPD

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