Maureen Kay
Professional Summary
Maureen Kay, who also goes by Maureen Kay Carr, Maureen K Carr, Maureen K Halasz, Maureen Kay Halasz, Maureen Kay Mcgreal, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Columbus, Ohio and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado. Maureen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Maureen has worked at 11 firms and has...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Maureen Kay Carr, Maureen K Carr, Maureen K Halasz, Maureen Kay Halasz, Maureen Kay Mcgreal
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
30 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
Contact Information
Main Address
8515 East Orchard Rd 4t2, Greenwood Village, CO 80111Phone Number
(866) 575-4977# of Employees
8,051SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
297,074AUM (Assets Under Management)
$195,426,321,479Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/26/2026 | Cover Page | Report |
| 03/28/2025 | Cover Page | Report |
| 11/21/2023 | Cover Page | Report |
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
State Registrations and Notice Filings
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/30/2026)
(7/31/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
(7/29/2026)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2014About the Series 9 examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2014About the Series 10 examSRO Registrations
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view Maureen Kay's CRS (Customer Relationship Summary).
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
