Alex Shvartsman

EMPOWER ADVISORY GROUP

Coram, NY

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CRD#: 3017804

Professional summary

Alex Shvartsman, who also goes by Alex Shuartsman, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Coram, New York and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Alex is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Alex has worked at 15 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alex Shuartsman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Shvartsman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 8, 2024 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Coram, NY

Current

February 8, 2024 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

Greenwood Village, CO

Past

January 26, 2022 - January 9, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Lake Grove, NY

Past

January 26, 2022 - January 9, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lake Grove, NY

Past

February 27, 2018 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Lake Grove, NY

Past

February 26, 2018 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

LAKE GROVE, NY

Past

February 26, 2018 - December 20, 2023

TD AMERITRADE, INC.

CRD#: 7870

Lake Grove, NY

Past

April 7, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

March 14, 2016 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

HUNTINGTON STATION, NY

Past

August 6, 2014 - March 8, 2016

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

NEW YORK, NY

Past

May 27, 2005 - July 22, 2014

BRILL SECURITIES, INC.

CRD#: 18565

NEW YORK, NY

Past

November 19, 2003 - May 31, 2005

FIRST HUDSON FINANCIAL GROUP, INC.

CRD#: 32926

NEW YORK, NY

Past

May 29, 2002 - December 4, 2003

NATIONAL SECURITIES CORPORATION

CRD#: 7569

BOCA RATON, FL

Past

April 23, 2001 - November 13, 2002

U.S. SECURITIES & FUTURES CORP.

CRD#: 36045

NEW YORK, NY

Past

December 4, 2000 - May 2, 2001

HAPOALIM SECURITIES USA, INC.

CRD#: 266

NEW YORK, NY

Past

April 19, 2000 - November 30, 2000

WOODSTOCK FINANCIAL GROUP, INC.

CRD#: 38095

WOODSTOCK, GA

Past

May 27, 1999 - May 24, 2000

GLENN MICHAEL FINANCIAL, INC.

CRD#: 37912

MELVILLE, NY

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".

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.

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

Alabama
(2/8/2024)

Alaska
(2/8/2024)

Arizona
(2/8/2024)

Arkansas
(2/8/2024)

California
(2/8/2024)

Connecticut
(2/8/2024)

Delaware
(2/8/2024)

Georgia
(2/8/2024)

Hawaii
(2/8/2024)

Idaho
(2/8/2024)

Illinois
(2/8/2024)

Indiana
(2/8/2024)

Iowa
(2/8/2024)

Kansas
(2/8/2024)

Kentucky
(2/8/2024)

Maine
(2/8/2024)

Massachusetts
(2/8/2024)

Michigan
(2/8/2024)

Minnesota
(2/8/2024)

Mississippi
(2/8/2024)

Missouri
(2/8/2024)

Montana
(2/8/2024)

Nebraska
(2/8/2024)

Nevada
(2/8/2024)

New Hampshire
(2/8/2024)

New Jersey
(2/8/2024)

New Mexico
(2/8/2024)

New York
(2/8/2024)

IAR

New York
(2/8/2024)

North Carolina
(2/8/2024)

North Dakota
(2/8/2024)

Oklahoma
(2/8/2024)

Oregon
(2/8/2024)

Pennsylvania
(2/8/2024)

Rhode Island
(2/8/2024)

South Carolina
(2/8/2024)

South Dakota
(2/8/2024)

Tennessee
(2/8/2024)

Texas
(2/8/2024)

Utah
(2/8/2024)

Vermont
(2/8/2024)

Virginia
(2/8/2024)

Washington
(2/8/2024)

West Virginia
(2/8/2024)

Wisconsin
(2/8/2024)

Wyoming
(2/8/2024)

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

State Security Law Exam

IAR

Series 66

Date: 4/7/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/22/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/26/1999

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)

EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)

EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)

EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

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	Cover Page	Report
11/21/2023	Cover Page	Report

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.

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Firm Stability Insights

Alex Shvartsman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Shvartsman's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

NEWBRIDGE SECURITIES CORPORATION

BRILL SECURITIES, INC.

FIRST HUDSON FINANCIAL GROUP, INC.

NATIONAL SECURITIES CORPORATION

U.S. SECURITIES & FUTURES CORP.

HAPOALIM SECURITIES USA, INC.

WOODSTOCK FINANCIAL GROUP, INC.

GLENN MICHAEL FINANCIAL, INC.

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/7/2017

Series 63

Date: 6/22/1999

SIE

Date: 10/1/2018

Series 7

Date: 5/26/1999

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER ADVISORY GROUP, LLC

TRUST BUT VERIFY

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