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KS

Kevin Spence

EMPOWER ADVISORY GROUP
Concord, NC
CRD#: 3172600
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KS
Kevin SpenceEMPOWER ADVISORY GROUP

Professional summary

Kevin Spence, who also goes by Kevin Dion Spence, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Concord, North Carolina and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kevin has worked at 10 firms and has passed the Series 66, Series 52TO, SIE, Series 7, Series 11, Series 53, Series 14, Series 24, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Kevin Dion Spence

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 Kevin Spence'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

June 15, 2026 - Present

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
Concord, NC
Current

June 15, 2026 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

December 3, 2020 - May 29, 2026

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA
CRD#: 20472
CHARLOTTE, NC
Past

December 3, 2020 - May 29, 2026

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
CHARLOTTE, NC
Past

February 9, 2018 - November 2, 2020

CARY STREET PARTNERS

RIA
CRD#: 128545
RICHMOND, VA
Past

January 16, 2018 - November 2, 2020

CARY STREET PARTNERS

BD
CRD#: 128089
RICHMOND, VA
Past

January 13, 2016 - January 30, 2018

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

December 14, 2010 - December 7, 2015

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
CHARLOTTE, NC
Past

December 14, 2010 - December 7, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
CHARLOTTE, NC
Past

May 22, 2008 - December 23, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

RIA
CRD#: 11025
ST. LOUIS, MO
Past

May 22, 2008 - December 23, 2010

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

January 4, 2005 - May 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
GLEN ALLEN, VA
Past

July 6, 2004 - December 31, 2004

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
GLEN ALLEN, VA
Past

July 6, 2004 - May 22, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

January 29, 2001 - July 6, 2004

FIRST CLEARING, LLC

BD
CRD#: 17344
ST. LOUIS, MO
Past

April 27, 2000 - January 17, 2001

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, 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".
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
North Carolina
(6/15/2026)
IAR
North Carolina
(6/15/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/21/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 7/9/2024
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/3/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 11
Date: 4/27/1999
Assistant Representative-Order Processing Qualification Exam
Principal/Supervisory Exam
RR
Series 53
Date: 8/24/2024
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/26/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 8/21/2002
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/21/2002
General Securities Sales Supervisor - Options Module Examination
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
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 Accounts250,707
AUM (Assets Under Management)$ 159,120,330,491

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
02/26/2026
Cover Page
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.

Company Information

EMPOWER ADVISORY GROUP, LLC

CRD#: 112058Concord, NC

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