Kelly Paiz

EMPOWER ADVISORY GROUP

Greenwood Village, CO 80111

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CRD#: 3188262

Professional summary

Kelly Paiz, who also goes by Kelly Cain, Kelly L Paiz, Kelly Lynette Paiz, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Greenwood Village, Colorado and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Kelly is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kelly has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 10 and Series 9 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kelly Cain | Kelly L Paiz | Kelly Lynette Paiz

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 Kelly Paiz'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 11, 2021 - Present

EMPOWER ADVISORY GROUP, LLC

Office #1: 8515 East Orchard Rd 4t2, Greenwood Village, CO 80111

RIA

CRD#: 112058

Greenwood Village, CO

Current

February 11, 2021 - Present

EMPOWER FINANCIAL SERVICES, INC.

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

CRD#: 13109

Greenwood Village, CO

Past

April 24, 2015 - January 6, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

DENVER, CO

Past

April 24, 2015 - January 6, 2021

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

April 25, 2011 - January 13, 2015

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

DENVER, CO

Past

January 31, 2011 - January 8, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

DENVER, CO

Past

October 8, 2010 - December 16, 2010

EQUITABLE ADVISORS, LLC

CRD#: 6627

DENVER, CO

Past

April 4, 2007 - February 23, 2010

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

April 26, 2005 - April 4, 2007

COUNTRY TRUST BANK

RIA

CRD#: 109487

ENGLEWOOD, CO

Past

May 19, 2004 - April 4, 2007

COUNTRY CAPITAL MANAGEMENT COMPANY

CRD#: 12060

ENGLEWOOD, CO

Past

June 16, 2003 - May 14, 2004

BBVA COMPASS INVESTMENT SOLUTIONS, INC

CRD#: 17086

BIRMINGHAM, AL

Past

August 2, 2002 - April 21, 2003

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

BALTIMORE, MD

Past

March 8, 1999 - February 15, 2001

JANUS HENDERSON DISTRIBUTORS US LLC

CRD#: 28832

DENVER, CO

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
(2/11/2021)

Alaska
(2/11/2021)

Arizona
(2/11/2021)

Arkansas
(2/11/2021)

California
(2/11/2021)

Colorado
(2/11/2021)

IAR

Colorado
(2/11/2021)

Connecticut
(2/11/2021)

Delaware
(2/11/2021)

Florida
(2/11/2021)

Georgia
(2/11/2021)

Hawaii
(2/11/2021)

Idaho
(2/11/2021)

Illinois
(2/11/2021)

Indiana
(2/11/2021)

Iowa
(2/11/2021)

Kansas
(2/11/2021)

Kentucky
(2/11/2021)

Maine
(2/11/2021)

Massachusetts
(2/11/2021)

Michigan
(2/11/2021)

Minnesota
(2/11/2021)

Mississippi
(2/11/2021)

Missouri
(2/11/2021)

Montana
(2/11/2021)

Nebraska
(2/11/2021)

Nevada
(2/11/2021)

New Hampshire
(2/11/2021)

New Jersey
(2/11/2021)

New Mexico
(2/11/2021)

New York
(2/11/2021)

North Carolina
(2/11/2021)

North Dakota
(2/11/2021)

Oklahoma
(2/11/2021)

Oregon
(2/11/2021)

Pennsylvania
(2/11/2021)

Rhode Island
(2/11/2021)

South Carolina
(2/11/2021)

South Dakota
(2/11/2021)

Tennessee
(2/11/2021)

Texas
(2/11/2021)

Utah
(2/11/2021)

Vermont
(2/11/2021)

Virginia
(2/11/2021)

Washington
(2/11/2021)

West Virginia
(2/11/2021)

Wisconsin
(2/11/2021)

Wyoming
(2/11/2021)

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 65

Date: 4/18/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/6/1999

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: 10/6/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/1/1999

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 10

Date: 9/15/2014

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/6/2014

General Securities Sales Supervisor - Options Module 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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Advisor Monitoring

Firm Stability Insights

Kelly Paiz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kelly Paiz's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

EQUITABLE ADVISORS, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

COUNTRY TRUST BANK

COUNTRY CAPITAL MANAGEMENT COMPANY

BBVA COMPASS INVESTMENT SOLUTIONS, INC

T. ROWE PRICE INVESTMENT SERVICES, INC.

JANUS HENDERSON DISTRIBUTORS US LLC

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/18/2011

Series 63

Date: 5/6/1999

SIE

Date: 10/1/2018

Series 7

Date: 10/6/2010

Series 6

Date: 3/1/1999

Series 10

Date: 9/15/2014

Series 9

Date: 1/6/2014

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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