Keith E. Stiefvater
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.
Keith Eugene Stiefvater was a registered financial professional .
Keith is a previously registered financial professional and started their career in finance in 1994. Keith had worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 16, 2022 - April 12, 2022
EMPOWER ADVISORY GROUP, LLC
March 10, 2022 - April 12, 2022
EMPOWER FINANCIAL SERVICES, INC.
December 26, 2019 - July 9, 2021
FIDELITY PERSONAL AND WORKPLACE ADVISORS
July 13, 2018 - November 26, 2019
FIDELITY PERSONAL AND WORKPLACE ADVISORS
May 28, 2004 - July 9, 2021
FIDELITY BROKERAGE SERVICES LLC
May 25, 2004 - July 13, 2018
STRATEGIC ADVISERS LLC
August 20, 1998 - March 9, 2004
CHARLES SCHWAB & CO., INC.
March 16, 1998 - March 9, 2004
CHARLES SCHWAB & CO., INC.
January 31, 1997 - February 24, 1998
PRUCO SECURITIES, LLC.
January 19, 1996 - November 27, 1996
GUARANTY BROKERAGE SERVICES, INC.
December 5, 1994 - January 22, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 21, 1994 - September 21, 1994
EDWARD JONES
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.
