Daryl F. Wells
Professional summary
Daryl Flynn Wells Sr, ChFC®, CLU®, who also goes by Daryl F (sr) Wells, Daryl Flynn Wells Sr, Daryl Flynn Wells, Daryl F Wells, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Hamden, Connecticut and EMPOWER FINANCIAL SERVICES, INC. located in Point Pleasant, New Jersey.
Daryl is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Daryl has worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Daryl Flynn Wells Sr's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2019 - Present
EMPOWER ADVISORY GROUP, LLC
October 31, 2019 - Present
EMPOWER FINANCIAL SERVICES, INC.
May 5, 2016 - October 22, 2019
CITIZENS SECURITIES, INC.
May 3, 2016 - October 22, 2019
CITIZENS SECURITIES, INC.
March 31, 2014 - April 19, 2016
AVANTAX INVESTMENT SERVICES, INC.
March 14, 2007 - May 3, 2012
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
March 20, 2006 - March 7, 2007
AST INVESTMENT SERVICES, INC.
June 27, 2005 - March 7, 2007
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
December 3, 2002 - June 13, 2005
CITISTREET FINANCIAL SERVICES LLC
September 23, 2002 - June 13, 2005
CITISTREET EQUITIES LLC
June 29, 1998 - April 3, 2002
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
August 9, 1995 - June 4, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
(10/31/2019)
(11/1/2019)
(3/2/2020)
(11/1/2019)
(11/14/2019)
(11/13/2019)
(11/22/2019)
(11/1/2019)
(11/5/2019)
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
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.
