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Current Employers
Empower Advisory Group, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-11-05
  • FL RA
    APPROVED
    Since 2024-11-05

Branch Locations

New Port Richey, FL • 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
T Rowe Price Tampa FL 10/2007 10/2018
Facet Wealth Baltimore MD 10/2018 04/2020
E*Trade Securities Llc Temple Terrace FL 04/2020 09/2023
E*Trade Capital Management Llc Temple Terrace FL 04/2020 11/2023
Morgan Stanley Temple Terrace FL 01/2023 09/2023
Morgan Stanley Temple Terrace FL 09/2023 09/2023
Morgan Stanley Temple Terrace FL 09/2023 09/2023
Morgan Stanley Tampa FL 09/2023 09/2024
Empower Financial Services, Inc Greenwood Village CO 09/2024 Present
Empower Advisory Group, Llc Greenwood Village CO 09/2024 Present
  • 10/2007 → 10/2018
    T Rowe Price
    Tampa, FL
  • 10/2018 → 04/2020
    Facet Wealth
    Baltimore, MD
  • 04/2020 → 09/2023
    E*Trade Securities Llc
    Temple Terrace, FL
  • 04/2020 → 11/2023
    E*Trade Capital Management Llc
    Temple Terrace, FL
  • 01/2023 → 09/2023
    Temple Terrace, FL
  • 09/2023 → 09/2023
    Temple Terrace, FL
  • 09/2023 → 09/2023
    Temple Terrace, FL
  • 09/2023 → 09/2024
    Tampa, FL
  • 09/2024 → Present
    Empower Financial Services, Inc
    Greenwood Village, CO
  • 09/2024 → Present
    Greenwood Village, CO
Previous Registrations
  • 2023-09-05 → 2024-09-20
    Tampa, FL
    Tampa, FL
  • 2020-05-01 → 2023-09-05
    Harrisdirect Llc
    Temple Terrace, FL
    Arlington, VA
    Tampa, FL
  • 2018-12-13 → 2020-04-28
    West Palm Beach, FL
    New Port Richey, FL
  • 2007-11-02 → 2018-10-15
    Tampa, FL
  • 2005-01-18 → 2007-10-31
    Tampa, FL
    Boca Raton, FL
  • 2002-09-24 → 2005-01-18
    A. G. Edwards & Sons, Inc.
    Port Richey, FL
Other Businesses

*593941 - DLG Enterprises, LLC; Investment related -Yes; New Port Richey, Florida; Real Estate; Member (proprietor, partner, officer, director, employee, trustee, agent); 06/2024; During business hours: 0; After business hours: 15; Passive real estate investing

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-09-19
S63 Uniform Securities Agent State Law Examination 2002-06-07
  • S66 Uniform Combined State Law Examination
    2002-09-19
  • S63 Uniform Securities Agent State Law Examination
    2002-06-07
Other Names
  • Dianna Lynn Gallo
  • Dianna Gallo Hogston
  • Dianna Lynn Winkler
  • Dianna Gallo Hogston
  • Dianna L Winkler

View on SEC IAPD

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