Connie L. Stevens
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Connie Lynn Stevens, who also goes by Connie Lynn Johnston, Connie Lynn Mullins, Connie Mullins, was a registered financial professional .
Connie is a previously registered financial professional and started their career in finance in 1988. Connie had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2016 - July 12, 2019
EMPOWER ADVISORY GROUP, LLC
June 2, 2006 - July 12, 2019
EMPOWER FINANCIAL SERVICES, INC.
July 6, 2005 - April 26, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - April 26, 2006
CHASE INVESTMENT SERVICES CORP.
June 6, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
June 6, 2003 - July 6, 2005
BANC ONE SECURITIES CORPORATION
July 6, 2001 - June 3, 2003
UBS FINANCIAL SERVICES INC.
July 6, 2001 - June 3, 2003
UBS FINANCIAL SERVICES INC.
July 10, 1998 - July 16, 2001
RBC CAPITAL MARKETS, LLC
October 19, 1995 - June 9, 1998
WADDELL & REED
October 31, 1990 - June 1, 1995
WILLIAMS MACKAY JORDAN & CO., INCORPORATED
September 4, 1990 - October 31, 1990
WELLS FARGO CLEARING SERVICES, LLC
December 9, 1988 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
June 21, 1988 - January 19, 1989
BOETTCHER & COMPANY, INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
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 | ||
| 11/21/2023 |
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.
