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MS

Mark Sperling

EMPOWER ADVISORY GROUP
Andover, MA
Some features on this profile are disabled
CRD#: 2419107
MS

Professional summary

Mark Sperling, who also goes by Mark David Sperling, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Andover, Massachusetts and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Mark has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 31 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mark David Sperling

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Sperling's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 3, 2022 - Present

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
Andover, MA
Current

December 17, 2021 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111
BD
CRD#: 13109
Greenwood Village, CO
Past

January 25, 2021 - November 10, 2021

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
AMESBURY, MA
Past

January 25, 2021 - November 10, 2021

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
AMESBURY, MA
Past

February 8, 2018 - January 25, 2021

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WELLESLEY, MA
Past

August 8, 2017 - January 25, 2021

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WELLESLEY, MA
Past

July 10, 1997 - February 6, 1998

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EA
EMPOWER ADVISORY GROUP, LLC
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA
Registered Investment Advisory firm - (11/22/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(12/17/2021)
RR
Alaska
(12/17/2021)
RR
Arizona
(12/17/2021)
RR
Arkansas
(12/17/2021)
RR
California
(12/17/2021)
RR
Connecticut
(12/17/2021)
RR
Delaware
(12/17/2021)
RR
Georgia
(12/17/2021)
RR
Hawaii
(12/17/2021)
RR
Idaho
(12/17/2021)
RR
Illinois
(12/17/2021)
RR
Indiana
(12/17/2021)
RR
Iowa
(12/17/2021)
RR
Kansas
(12/17/2021)
RR
Kentucky
(12/17/2021)
RR
Maine
(12/17/2021)
RR
Massachusetts
(12/17/2021)
IAR
Massachusetts
(1/3/2022)
RR
Michigan
(12/17/2021)
RR
Minnesota
(12/17/2021)
RR
Mississippi
(12/17/2021)
RR
Missouri
(12/17/2021)
RR
Montana
(12/17/2021)
RR
Nebraska
(12/17/2021)
RR
Nevada
(12/17/2021)
RR
New Hampshire
(12/17/2021)
RR
New Jersey
(12/17/2021)
RR
New Mexico
(12/17/2021)
RR
New York
(12/17/2021)
RR
North Carolina
(12/17/2021)
RR
North Dakota
(12/17/2021)
RR
Oklahoma
(12/17/2021)
RR
Oregon
(12/17/2021)
RR
Pennsylvania
(12/17/2021)
RR
Rhode Island
(12/17/2021)
RR
South Carolina
(12/17/2021)
RR
South Dakota
(12/17/2021)
RR
Tennessee
(12/17/2021)
RR
Texas
(12/17/2021)
RR
Utah
(12/17/2021)
RR
Vermont
(12/17/2021)
RR
Virginia
(12/17/2021)
RR
Washington
(12/17/2021)
RR
West Virginia
(12/17/2021)
RR
Wisconsin
(12/17/2021)
RR
Wyoming
(12/17/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/22/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/21/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/8/2017
General Securities Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 8/22/1997
Futures Managed Funds Examination
SRO Registrations
RR
FINRA

Current Firm

EA
EMPOWER ADVISORY GROUP, LLC
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA
Registered Investment Advisory firm - (11/22/2000 Approved)
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Contact information

Main Address
8515 East Orchard Rd 4t2, Greenwood Village, CO 80111
Mailing Address
Phone number
(866) 575-4977
Established
Firm type
Fiscal year end
# of Employees
822

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)
EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)
EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)
EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)
EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)
EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)
EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

Regulatory assets under management

Total Number of Accounts250,707
AUM (Assets Under Management)$ 159,120,330,491

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
03/28/2025
Cover Page
Report
11/21/2023
Cover Page
Report

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.

Company Information

EMPOWER ADVISORY GROUP, LLC

CRD#: 112058Andover, MA

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