Michael B. Halphen
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.
Michael Burr Halphen, who also goes by Michael Burr Halphen Jr, Michael Burr Jr Halphen, Michael Burr Halphen Jr Jr, Michael Burr Halphen Jr, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1988. Michael had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 23 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
August 12, 2019 - August 12, 2020
EMPOWER ADVISORY GROUP, LLC
August 12, 2019 - August 12, 2020
EMPOWER FINANCIAL SERVICES, INC.
January 14, 2019 - August 12, 2019
HANCOCK WHITNEY INVESTMENT SERVICES INC.
January 14, 2019 - August 12, 2019
HANCOCK WHITNEY INVESTMENT SERVICES INC.
August 3, 2018 - January 2, 2019
CUSO FINANCIAL SERVICES, L.P.
August 2, 2018 - January 2, 2019
CUSO FINANCIAL SERVICES, L.P.
June 10, 2016 - August 7, 2018
CAPITAL ONE ADVISORS, LLC
June 10, 2016 - August 7, 2018
CAPITAL ONE INVESTING, LLC
November 26, 2014 - May 26, 2016
MSI FINANCIAL SERVICES, INC.
November 7, 2014 - May 26, 2016
MSI FINANCIAL SERVICES, INC.
October 28, 2009 - October 22, 2014
WELLS FARGO CLEARING SERVICES, LLC
October 28, 2009 - October 22, 2014
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - November 18, 2009
MORGAN STANLEY
June 1, 2009 - November 18, 2009
MORGAN STANLEY
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
July 31, 1993 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
August 4, 1988 - July 31, 1993
LEHMAN BROTHERS 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 8
Date: 11/3/1994
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.
