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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 2022-11-22
  • MA RA
    APPROVED
    Since 2022-11-22

Branch Locations

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

Wakefield, MA • 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
Ameriprise Financial Services, Inc Wakefield MA 01/2017 12/2019
Walton School Pto Wakefield MA 11/2010 01/2017
Citizens Securities, Inc. Medford MA 03/2020 10/2022
Unemployed Wakefield MA 12/2019 03/2020
Empower Financial Services, Inc Waltham MA 11/2022 Present
  • 01/2017 → 12/2019
    Ameriprise Financial Services, Inc
    Wakefield, MA
  • 11/2010 → 01/2017
    Walton School Pto
    Wakefield, MA
  • 03/2020 → 10/2022
    Medford, MA
  • 12/2019 → 03/2020
    Unemployed
    Wakefield, MA
  • 11/2022 → Present
    Empower Financial Services, Inc
    Waltham, MA
Previous Registrations
  • 2020-03-30 → 2022-10-20
    Woburn, MA
    Malden, MA
    Medford, MA
    Medford, MA
    Cambridge, MA
    Somerville, MA
    Cambridge, MA
    Somerville, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-11-07
S63 Uniform Securities Agent State Law Examination 2018-10-30
  • S65 Uniform Investment Adviser Law Examination
    2019-11-07
  • S63 Uniform Securities Agent State Law Examination
    2018-10-30
Other Names
  • Ngan Phuong Tu

View on SEC IAPD

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