Donald J. Liffengren
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.
Donald J Liffengren, who also goes by Donald J Liffengren Jr, Donald Jerome Liffengren Jr, Donald Liffengren, Donald Jerome Liffengren, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 2001. Donald had worked at 12 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 15, 2021 - September 22, 2022
EMPOWER ADVISORY GROUP, LLC
April 15, 2021 - September 22, 2022
EMPOWER FINANCIAL SERVICES, INC.
July 9, 2019 - December 31, 2020
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 9, 2019 - January 11, 2021
TD AMERITRADE, INC.
July 9, 2019 - January 11, 2021
TD AMERITRADE, INC.
July 21, 2016 - May 28, 2019
CHARLES SCHWAB & CO., INC.
July 18, 2016 - May 28, 2019
CHARLES SCHWAB & CO., INC.
May 20, 2015 - July 7, 2016
KEY INVESTMENT SERVICES LLC
April 3, 2014 - February 6, 2015
TD AMERITRADE, INC.
April 3, 2014 - February 6, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
February 24, 2014 - February 6, 2015
TD AMERITRADE, INC.
December 4, 2013 - January 28, 2014
LPL FINANCIAL LLC
May 18, 2011 - December 11, 2013
SORRENTO PACIFIC FINANCIAL, LLC
March 19, 2008 - May 23, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 26, 2007 - December 13, 2007
REGAL SECURITIES, INC.
March 27, 2003 - February 22, 2008
SCF SECURITIES, INC.
November 28, 2001 - September 5, 2002
CITICORP INVESTMENT SERVICES
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.
