Frank F. Loria
Professional summary
Frank Frederick Loria, who also goes by Frank Loria, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Bolton, Connecticut and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Frank has worked at 11 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frank Frederick Loria's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 22, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
April 4, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111August 13, 2021 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 31, 2016 - August 10, 2021
SANTANDER SECURITIES LLC
May 31, 2016 - August 10, 2021
SANTANDER SECURITIES LLC
January 13, 2014 - May 9, 2016
CITIZENS SECURITIES, INC.
January 13, 2014 - May 9, 2016
CITIZENS SECURITIES, INC.
June 21, 2004 - January 13, 2014
PEOPLE'S SECURITIES, INC.
June 21, 2004 - January 13, 2014
PEOPLE'S SECURITIES, INC.
March 20, 2001 - June 8, 2004
OSAIC INSTITUTIONS, INC.
August 4, 2000 - June 8, 2004
OSAIC INSTITUTIONS, INC.
July 15, 1999 - August 2, 2000
WEBSTER INVESTMENT SERVICES, INC.
April 8, 1997 - July 15, 1999
IFMG SECURITIES, INC.
March 25, 1996 - March 28, 1997
IDS LIFE INSURANCE COMPANY
March 25, 1996 - March 28, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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.
