EF
Erik J. Falkenberg
EMPOWER ADVISORY GROUP
SAMMAMISH, WA
Some features on this profile are disabled
CRD#: 2791940
EF
Professional summary
Erik J Falkenberg, who also goes by Erik J Falkenberg, Erik Joseph Falkenberg Jr, Erik Joseph Falkenberg, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Sammamish, Washington and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Erik is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Erik has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Erik J Falkenberg | Erik Joseph Falkenberg Jr | Erik Joseph Falkenberg
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.
(1)Name of Business: Addison Avenue Investment Services Address: 2700 156th Avenue NE, Bellevue, WA, 98007, United States Activity Type: Support Company - Non Owner Position/Title: Associate/Employee Investment Related: Yes Start Date: 09/01/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor - Provide Investment Advice to Members (2)Name of Business: First Tech Fed Credit Union Address: 2700 156th Avenue NE, Bellevue, WA, 98007, United States Activity Type: Bank or Credit Union Associate Position/Title: Associate/Employee Investment Related: Yes Start Date: 09/01/2021 Hours per month devoted to this business: 81+ Hours per month devoted to this business during trading hours: 81+ Description of duties: Financial Advisor - Providing Investment Advice to members
CRS (Client Relationship Summary) - RIA
Click below to view Erik J Falkenberg's 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®
NoneExperience
Current
July 28, 2023 - Present
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
SAMMAMISH, WA
Current
June 9, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
September 1, 2021 - July 11, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Bellevue, WA
Past
September 1, 2021 - July 11, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
BELLEVUE, WA
Past
September 14, 2016 - September 10, 2019
TD AMERITRADE, INC.
RIA
CRD#: 7870
ISSAQUAH, WA
Past
September 14, 2016 - September 10, 2019
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
ISSAQUAH, WA
Past
July 27, 2016 - September 10, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
ISSAQUAH, WA
Past
May 11, 1999 - August 22, 2014
SCOTTRADE, INC.
BD
CRD#: 8206
SEATTLE, WA
Past
May 27, 1998 - December 16, 1998
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
April 3, 1997 - September 9, 1997
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 3, 1997 - September 9, 1997
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(6/9/2023)
RR
Alaska(6/9/2023)
RR
Arizona(6/9/2023)
RR
Arkansas(6/9/2023)
RR
California(6/9/2023)
RR
Connecticut(6/9/2023)
RR
Delaware(6/9/2023)
RR
Georgia(6/9/2023)
RR
Hawaii(6/9/2023)
RR
Idaho(6/9/2023)
RR
Illinois(6/9/2023)
RR
Indiana(6/9/2023)
RR
Iowa(6/9/2023)
RR
Kansas(6/9/2023)
RR
Kentucky(6/9/2023)
RR
Maine(6/9/2023)
RR
Massachusetts(6/9/2023)
RR
Michigan(6/9/2023)
RR
Minnesota(6/9/2023)
RR
Mississippi(6/9/2023)
RR
Missouri(6/9/2023)
RR
Montana(6/9/2023)
RR
Nebraska(6/9/2023)
RR
Nevada(6/9/2023)
RR
New Hampshire(6/9/2023)
RR
New Jersey(6/9/2023)
RR
New Mexico(6/9/2023)
RR
New York(6/9/2023)
RR
North Carolina(6/9/2023)
RR
North Dakota(6/9/2023)
RR
Oklahoma(6/9/2023)
RR
Oregon(6/9/2023)
RR
Pennsylvania(6/9/2023)
RR
Rhode Island(6/9/2023)
RR
South Carolina(6/9/2023)
RR
South Dakota(6/9/2023)
RR
Tennessee(6/9/2023)
RR
Texas(6/9/2023)
RR
Utah(6/9/2023)
RR
Vermont(6/9/2023)
RR
Virginia(6/9/2023)
RR
Washington(6/9/2023)
IAR
Washington(7/28/2023)
RR
West Virginia(6/9/2023)
RR
Wisconsin(6/9/2023)
RR
Wyoming(6/9/2023)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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)
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.
