Richard L. Ashworth
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.
Richard Lee Ashworth, who also goes by Richard Lee Ashworth, Richard Ashworth, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 20 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 3, Series 7, Series 53 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 5, 2022 - October 10, 2022
EMPOWER ADVISORY GROUP, LLC
July 5, 2022 - October 10, 2022
EMPOWER FINANCIAL SERVICES, INC.
October 31, 2018 - August 20, 2020
PRUCO SECURITIES, LLC.
October 31, 2018 - August 20, 2020
PRUCO SECURITIES, LLC.
April 18, 2016 - March 2, 2018
BANCWEST INVESTMENT SERVICES, INC.
April 15, 2016 - March 2, 2018
BANCWEST INVESTMENT SERVICES, INC.
August 29, 2013 - April 22, 2016
LPL FINANCIAL LLC
August 29, 2013 - April 22, 2016
LPL FINANCIAL LLC
November 6, 2009 - October 31, 2012
WELLS FARGO SECURITIES, LLC
May 2, 2001 - May 31, 2001
WELLS FARGO INVESTMENTS, LLC
March 15, 2001 - October 31, 2012
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
January 21, 1999 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 15, 1996 - May 2, 2001
WELLS FARGO SECURITIES INC.
October 4, 1995 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
January 17, 1995 - October 23, 1995
WELLS FARGO CLEARING SERVICES, LLC
November 5, 1991 - January 12, 1995
KIDDER, PEABODY & CO. INCORPORATED
August 9, 1990 - October 21, 1991
MORGAN STANLEY DW INC.
March 21, 1990 - August 22, 1990
PRINTON, KANE GROUP, INC.
November 21, 1988 - July 13, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 1988 - November 1, 1988
IDS LIFE INSURANCE COMPANY
September 20, 1988 - November 1, 1988
AMERIPRISE FINANCIAL SERVICES, LLC
July 22, 1988 - August 17, 1988
SEI INVESTMENTS DISTRIBUTION CO.
July 20, 1987 - January 13, 1988
PRINTON, KANE GOVERNMENT SECURITIES, 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
Series 7TO
Date: 3/13/2022
General Securities Representative ExaminationSeries 8
Date: 7/17/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
