DR
David Romero
EMPOWER ADVISORY GROUP
Greenwood Village, CO 80111
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CRD#: 2968779
DR
Professional summary
David Romero, who also goes by David Patrick Romero, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Greenwood Village, Colorado and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. David has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
David Patrick Romero
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.
Attitude and Action Non-investment related 8358 Briar Trace Way Castle Pines, CO 80180 Baseball youth pitching consultation and instruction. Lead Instructor is position Owner is title 2010 start date of relationship 2 hours per month devoted to business 0 hours devoted during securities trading hours Duties - provide one on one pitching consultation to youth baseball player and parents.
CRS (Client Relationship Summary) - RIA
Click below to view David Romero'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
March 31, 2021 - Present
EMPOWER ADVISORY GROUP, LLC
Office #1: 8515 East Orchard Rd 4t2, Greenwood Village, CO 80111RIA
CRD#: 112058
Greenwood Village, CO
Current
February 18, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
December 16, 2013 - October 14, 2020
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
May 13, 2011 - December 31, 2011
PFS INVESTMENTS INC.
BD
CRD#: 10111
LITTLETON, CO
Past
November 26, 2008 - October 30, 2009
CHASE INVESTMENT SERVICES CORP.
RIA
CRD#: 25574
LITTLETON, CO
Past
November 14, 2008 - October 30, 2009
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
LITTLETON, CO
Past
April 2, 1998 - August 13, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, CO
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(2/18/2021)
RR
Alaska(2/18/2021)
RR
Arizona(2/18/2021)
RR
Arkansas(2/18/2021)
RR
California(2/18/2021)
RR
Colorado(2/18/2021)
IAR
Colorado(3/31/2021)
RR
Connecticut(2/18/2021)
RR
Delaware(2/18/2021)
RR
Georgia(2/18/2021)
RR
Hawaii(2/18/2021)
RR
Idaho(2/18/2021)
RR
Illinois(2/18/2021)
RR
Indiana(2/18/2021)
RR
Iowa(2/18/2021)
RR
Kansas(2/18/2021)
RR
Kentucky(2/18/2021)
RR
Maine(2/18/2021)
RR
Massachusetts(2/18/2021)
RR
Michigan(2/18/2021)
RR
Minnesota(2/18/2021)
RR
Mississippi(2/18/2021)
RR
Missouri(2/18/2021)
RR
Montana(2/18/2021)
RR
Nebraska(2/18/2021)
RR
Nevada(2/18/2021)
RR
New Hampshire(2/18/2021)
RR
New Jersey(2/18/2021)
RR
New Mexico(2/18/2021)
RR
New York(2/18/2021)
RR
North Carolina(2/18/2021)
RR
North Dakota(2/18/2021)
RR
Oklahoma(2/18/2021)
RR
Oregon(2/18/2021)
RR
Pennsylvania(2/18/2021)
RR
Rhode Island(2/18/2021)
RR
South Carolina(2/18/2021)
RR
South Dakota(2/18/2021)
RR
Tennessee(2/18/2021)
RR
Texas(2/18/2021)
RR
Utah(2/18/2021)
RR
Vermont(2/18/2021)
RR
Virginia(2/18/2021)
RR
Washington(2/18/2021)
RR
West Virginia(2/18/2021)
RR
Wisconsin(2/18/2021)
RR
Wyoming(2/18/2021)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
