David L. Steinberg
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.
David Lawrence Steinberg, CFP®, who also goes by David Lawrence Steinberg, David Steinberg, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1998. David had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2013
Experience
March 28, 2022 - April 14, 2026
EMPOWER ADVISORY GROUP, LLC
March 28, 2022 - April 14, 2026
EMPOWER FINANCIAL SERVICES, INC.
February 12, 2019 - March 24, 2022
T. ROWE PRICE ADVISORY SERVICES, INC.
January 30, 2019 - March 24, 2022
T. ROWE PRICE INVESTMENT SERVICES, INC.
April 29, 2008 - June 12, 2018
MERCER ALLIED COMPANY, L.P.
October 18, 2007 - November 15, 2007
ATLAS PRIVATE WEALTH MANAGEMENT, LLC
November 6, 2006 - October 19, 2007
DION MONEY MANAGEMENT INC
November 9, 2005 - August 16, 2006
UBS FINANCIAL SERVICES INC.
June 8, 1999 - October 22, 2004
VP DISTRIBUTORS LLC
October 20, 1998 - January 29, 1999
IDS LIFE INSURANCE COMPANY
October 20, 1998 - January 29, 1999
AMERIPRISE FINANCIAL SERVICES, LLC
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 |
|---|---|---|
| 02/26/2026 | ||
| 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.
