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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
CO RA APPROVED 2023-02-24
  • CO RA
    APPROVED
    Since 2023-02-24

Branch Locations

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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Putnam Investments Boston MA 01/2017 07/2017
Great-West Investments Boston MA 12/2017 Present
Unemployed Sudbury MA 08/2017 11/2017
Unemployed Boston MA 08/2016 12/2016
  • 01/2017 → 07/2017
    Putnam Investments
    Boston, MA
  • 12/2017 → Present
    Great-West Investments
    Boston, MA
  • 08/2017 → 11/2017
    Unemployed
    Sudbury, MA
  • 08/2016 → 12/2016
    Unemployed
    Boston, MA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-12-01
S63 Uniform Securities Agent State Law Examination 2018-03-01
  • S65 Uniform Investment Adviser Law Examination
    2022-12-01
  • S63 Uniform Securities Agent State Law Examination
    2018-03-01
Other Names
  • Benjamin Sia
  • Benjamin M Sia

View on SEC IAPD

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