Edward S. Rich
Professional summary
Edward Sullivan Rich, CFP®, who also goes by Edward S Rich, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Brookline, Massachusetts and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Edward has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Edward Sullivan Rich's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 20, 2021 - Present
EMPOWER ADVISORY GROUP, LLC
October 11, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111February 13, 2019 - April 6, 2021
WOODBURY FINANCIAL SERVICES, INC.
February 13, 2019 - April 6, 2021
OSAIC SERVICES, INC.
February 13, 2019 - April 6, 2021
FSC SECURITIES CORPORATION
December 13, 2018 - April 6, 2021
WOODBURY FINANCIAL SERVICES, INC.
December 13, 2018 - April 6, 2021
OSAIC SERVICES, INC.
December 13, 2018 - April 6, 2021
FSC SECURITIES CORPORATION
December 11, 2018 - April 6, 2021
OSAIC WEALTH, INC.
December 5, 2018 - April 6, 2021
OSAIC WEALTH, INC.
January 13, 2015 - December 28, 2015
SIGNATOR FINANCIAL SERVICES, INC.
May 1, 2013 - November 5, 2018
SIGNATOR INVESTORS, INC.
July 28, 2006 - November 5, 2018
SIGNATOR INVESTORS, INC.
August 31, 2004 - August 1, 2006
JOHN HANCOCK DISTRIBUTORS LLC
March 18, 2003 - July 26, 2004
SIGNATOR INVESTORS, INC.
January 27, 2000 - August 16, 2002
FIDELITY DISTRIBUTORS COMPANY LLC
May 4, 1998 - January 12, 2000
SIGNATOR INVESTORS, INC.
October 10, 1996 - March 27, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 18, 1996 - August 28, 1996
SIGNATOR INVESTORS, INC.
August 27, 1993 - August 28, 1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
August 27, 1993 - August 28, 1996
SIGNATOR INVESTORS, 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
(10/11/2021)
(10/20/2021)
Exams
FINRA
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
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