Seth C. Luera
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Seth C Luera, who also goes by Seth C. Luera, Seth Christopher Luera, Seth C Luera, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 1998. Seth had worked at 13 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 15, 2022 - January 19, 2023
EMPOWER ADVISORY GROUP, LLC
September 15, 2022 - January 19, 2023
EMPOWER FINANCIAL SERVICES, INC.
April 19, 2017 - September 13, 2022
ALLSTATE FINANCIAL SERVICES, LLC
April 18, 2017 - September 13, 2022
ALLSTATE FINANCIAL ADVISORS, LLC
September 23, 2014 - March 31, 2017
NATIONWIDE SECURITIES, LLC
September 5, 2014 - March 31, 2017
NATIONWIDE SECURITIES, LLC
May 16, 2013 - April 8, 2014
BBVA SECURITIES INC.
July 12, 2012 - April 8, 2014
PNC MANAGED ACCOUNT SOLUTIONS, INC.
July 6, 2012 - May 16, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
November 10, 2005 - July 2, 2012
CHARLES SCHWAB & CO., INC.
November 10, 2005 - July 2, 2012
CHARLES SCHWAB & CO., INC.
January 13, 2005 - January 24, 2005
A. G. EDWARDS & SONS, INC.
January 12, 2005 - January 24, 2005
A. G. EDWARDS & SONS, INC.
September 17, 2004 - November 4, 2004
NEBS FINANCIAL SERVICES, INC.
June 12, 2000 - September 10, 2004
TD AMERITRADE, INC.
December 16, 1998 - July 6, 2000
MORGAN STANLEY DW INC.
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
Exams
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.
