Daniel F. Ohara
Professional summary
Daniel Francis Ohara, who also goes by Dan Francis O'hara III, Danny Francis O'hara III, Daniel Francis Ohara Iii, Daniel Francis Ohara, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Wilmington, North Carolina and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Daniel has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Francis Ohara's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
April 4, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111August 17, 2020 - November 29, 2020
PRUDENTIAL SELECT STRATEGIES LLC
June 19, 2020 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 5, 2016 - June 12, 2020
PRUCO SECURITIES, LLC.
May 7, 2013 - September 26, 2014
SOURCE CAPITAL GROUP, INC.
June 14, 2011 - October 3, 2011
KAUFMAN BROS., L.P.
September 1, 2010 - March 9, 2011
HAPOALIM SECURITIES USA, INC.
July 13, 2009 - August 24, 2010
ACCESS SECURITIES, LLC
June 5, 2008 - October 28, 2008
JESUP & LAMONT SECURITIES CORP
September 15, 2000 - April 4, 2008
NEWOAK CAPITAL MARKETS LLC
February 18, 1999 - August 3, 2000
FIRST BROKERS SECURITIES LLC
January 24, 1996 - February 22, 1999
TULLETT PREBON FINANCIAL SERVICES LLC
March 15, 1991 - January 24, 1996
TP ICAP GLOBAL MARKETS AMERICAS 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 55
Date: 4/19/2000
Limited Representative-Equity Trader ExamFINRA
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.
