Mark J. Stromberg
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.
Mark Jon Stromberg was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1987. Mark had worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2023 - October 27, 2023
EMPOWER ADVISORY GROUP, LLC
November 8, 2017 - April 3, 2023
PERSONAL CAPITAL ADVISORS CORPORATION
April 18, 2016 - November 3, 2017
WEALTHSOURCE®
February 16, 2016 - May 7, 2016
CENTRIC INVESTMENT GROUP INC
February 9, 2011 - February 16, 2016
MCGIBBON ASSET MANAGEMENT
October 12, 2004 - March 20, 2009
CBIZ FINANCIAL SOLUTIONS, INC.
April 4, 1994 - April 24, 2000
INVESCO DISTRIBUTORS, INC.
May 22, 1992 - September 3, 1993
WELLINGTON SALES CORP.
November 2, 1987 - March 17, 1992
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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.
