SB
Steven L. Bromberger
EMPOWER ADVISORY GROUP
PEABODY, MA
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CRD#: 3157899
SB
Professional summary
Steven Louis Bromberger, who also goes by Steven Louis Bromberger, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Peabody, Massachusetts and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Steven has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steven Louis Bromberger
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. OWNER. LLC. TARA BELLA WINERY. PRODUCTION & DISTRIBUTION ON WINE. DEVOTE 1-20%. ANNUAL INCOME 1-20%. 1-20% OWNERSHIP. ESTABLISHED 7/2002. 2. PALMER HAMMOND TAX PREP. (OWNED BY NICK HAMMOND). EMPLOYEE-MEETING WITH INDIVIDUALS, COLLECTING & PREPARING THEIR FORMS FOR FILING TAXES. TIME DEVOTED: 21-40%. ANNUAL INCOME: 1-20%. DATE ESTABLISHED: 01/19/2022. 3. Licensed Life insurance agent in MA, NH & CT for Penn Mutual. Penn Mutual is paying my commissions for a previously sold life insurance case throughout 2022 and 2023. 4. SKL Group, LLC / Partner, Investor. Small business bookkeeping and payroll. No active role or responsibilities. Zero responsibility for the operation of the business. 0 hours per month; 0 hours during normal business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Louis Bromberger'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
August 30, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
PEABODY, MA
Current
August 23, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
January 19, 2021 - July 22, 2022
IC ADVISORY SERVICES, INC.
RIA
CRD#: 140190
WEBSTER, MA
Past
January 4, 2021 - July 22, 2022
THE INVESTMENT CENTER, INC.
BD
CRD#: 17839
WEBSTER, MA
Past
January 30, 2017 - January 15, 2020
ALLSPRING FUNDS MANAGEMENT, LLC
RIA
CRD#: 110841
Boston, MA
Past
January 4, 2010 - December 31, 2014
ALLSPRING FUNDS MANAGEMENT, LLC
RIA
CRD#: 110841
SAN FRANCISCO, CA
Past
January 4, 2010 - January 15, 2020
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
CHARLOTTE, NC
Past
November 12, 2009 - January 4, 2010
EVERGREEN INVESTMENT MANAGEMENT CO
RIA
CRD#: 104594
BOSTON, MA
Past
September 28, 2005 - January 4, 2010
GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.
BD
CRD#: 487
BOSTON, MA
Past
January 12, 2005 - May 20, 2005
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
February 23, 1999 - January 4, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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(8/23/2022)
RR
Alaska(8/23/2022)
RR
Arizona(8/23/2022)
RR
Arkansas(8/23/2022)
RR
California(8/23/2022)
RR
Connecticut(8/23/2022)
RR
Delaware(8/23/2022)
RR
Georgia(8/23/2022)
RR
Hawaii(8/23/2022)
RR
Idaho(8/23/2022)
RR
Illinois(8/23/2022)
RR
Indiana(8/23/2022)
RR
Iowa(8/23/2022)
RR
Kansas(8/23/2022)
RR
Kentucky(8/23/2022)
RR
Maine(8/23/2022)
RR
Massachusetts(8/23/2022)
IAR
Massachusetts(8/30/2022)
RR
Michigan(8/23/2022)
RR
Minnesota(8/23/2022)
RR
Mississippi(8/23/2022)
RR
Missouri(8/23/2022)
RR
Montana(8/23/2022)
RR
Nebraska(8/23/2022)
RR
Nevada(8/23/2022)
RR
New Hampshire(8/23/2022)
RR
New Jersey(8/23/2022)
RR
New Mexico(8/23/2022)
RR
New York(8/23/2022)
RR
North Carolina(8/23/2022)
RR
North Dakota(8/23/2022)
RR
Oklahoma(8/23/2022)
RR
Oregon(8/23/2022)
RR
Pennsylvania(8/23/2022)
RR
Rhode Island(8/23/2022)
RR
South Carolina(8/23/2022)
RR
South Dakota(8/23/2022)
RR
Tennessee(8/23/2022)
RR
Texas(8/23/2022)
RR
Utah(8/23/2022)
RR
Vermont(8/23/2022)
RR
Virginia(8/23/2022)
RR
Washington(8/23/2022)
RR
West Virginia(8/23/2022)
RR
Wisconsin(8/23/2022)
RR
Wyoming(8/23/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
