Katherine Ramirez

EMPOWER ADVISORY GROUP

OMAHA, NE

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CRD#: 1163492

Professional summary

Katherine Ramirez, who also goes by Katherine A Cooley, Katherine Alison Cooley, Kathy Cooley, Katherine Alison Parker, Katherine Alison Ramirez, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Omaha, Nebraska and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Katherine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Katherine has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Katherine A Cooley | Katherine Alison Cooley | Kathy Cooley | Katherine Alison Parker | Katherine Alison Ramirez

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Ramirez's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

August 1, 2023 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

OMAHA, NE

Current

December 7, 2022 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

Greenwood Village, CO

Past

September 13, 2021 - April 28, 2022

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

OMAHA, NE

Past

September 13, 2021 - April 28, 2022

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

OMAHA, NE

Past

July 19, 2019 - January 22, 2021

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

TEMPE, AZ

Past

July 17, 2019 - January 22, 2021

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

TEMPE, AZ

Past

November 14, 2011 - July 5, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHANDLER, AZ

Past

November 14, 2011 - July 5, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHANDLER, AZ

Past

March 18, 2008 - October 24, 2011

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

PHOENIX, AZ

Past

March 18, 2008 - October 24, 2011

CHARLES SCHWAB & CO., INC.

CRD#: 5393

PHOENIX, AZ

Past

October 1, 2007 - January 22, 2008

EDWARD JONES

RIA

CRD#: 250

PARADISE VALLEY, AZ

Past

July 13, 2007 - January 22, 2008

EDWARD JONES

CRD#: 250

PARADISE VALLEY, AZ

Past

November 10, 2006 - July 5, 2007

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

May 18, 1987 - August 10, 1987

HAL WEBER & COMPANY

CRD#: 14908

Past

October 15, 1986 - March 6, 1987

NORCAP SECURITIES, INC.

CRD#: 15200

Past

August 21, 1986 - November 26, 1986

MONY SECURITIES CORPORATION

CRD#: 4386

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(12/7/2022)

Alaska
(12/7/2022)

Arizona
(12/7/2022)

Arkansas
(12/7/2022)

California
(12/7/2022)

Connecticut
(12/7/2022)

Delaware
(12/7/2022)

Georgia
(12/7/2022)

Hawaii
(12/7/2022)

Idaho
(12/7/2022)

Illinois
(12/7/2022)

Indiana
(12/7/2022)

Iowa
(12/7/2022)

Kansas
(12/7/2022)

Kentucky
(12/7/2022)

Maine
(12/7/2022)

Massachusetts
(12/7/2022)

Michigan
(12/7/2022)

Minnesota
(12/7/2022)

Mississippi
(12/7/2022)

Missouri
(12/7/2022)

Montana
(12/7/2022)

Nebraska
(12/7/2022)

IAR

Nebraska
(8/1/2023)

Nevada
(12/7/2022)

New Hampshire
(12/7/2022)

New Jersey
(12/7/2022)

New Mexico
(12/7/2022)

New York
(12/7/2022)

North Carolina
(12/7/2022)

North Dakota
(12/7/2022)

Oklahoma
(12/7/2022)

Oregon
(12/7/2022)

Pennsylvania
(12/7/2022)

Rhode Island
(12/7/2022)

South Carolina
(12/7/2022)

South Dakota
(12/7/2022)

Tennessee
(12/7/2022)

Texas
(12/7/2022)

Utah
(12/7/2022)

Vermont
(12/7/2022)

Virginia
(12/7/2022)

Washington
(12/7/2022)

West Virginia
(12/7/2022)

Wisconsin
(12/7/2022)

Wyoming
(12/7/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/13/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/17/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/29/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/9/2006

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

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Contact information

Main Address

8515 East Orchard Rd 4t2, Greenwood Village, CO 80111

Mailing Address

Phone number

(866) 575-4977

Established

Firm type

Fiscal year end

# of Employees

822

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)

EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)

EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)

EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

Regulatory assets under management

Total Number of Accounts	250,707
AUM (Assets Under Management)	$ 159,120,330,491

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
03/28/2025	Cover Page	Report
11/21/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Katherine Ramirez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Katherine Ramirez's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

EDWARD JONES

EDWARD JONES

VANGUARD MARKETING CORPORATION

HAL WEBER & COMPANY

NORCAP SECURITIES, INC.

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/13/2007

Series 63

Date: 11/17/2006

SIE

Date: 10/1/2018

Series 7

Date: 8/29/2007

Series 6

Date: 11/9/2006

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER ADVISORY GROUP, LLC

TRUST BUT VERIFY

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