Peter A. Moraski
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.
Peter Andrew Moraski, who also goes by Pete Moraski, Peter A Moraski, Peter Moraski, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1999. Peter had worked at 10 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 10, 2023 - January 9, 2025
EMPOWER ADVISORY GROUP, LLC
April 4, 2022 - January 9, 2025
EMPOWER FINANCIAL SERVICES, INC.
February 5, 2021 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
January 12, 2018 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 12, 2018 - November 13, 2020
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
January 24, 2017 - November 30, 2017
SCOTTRADE INVESTMENT MANAGEMENT
November 3, 2015 - November 30, 2017
SCOTTRADE, INC.
January 7, 2015 - October 13, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 15, 2014 - October 13, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 7, 2013 - November 19, 2014
OHANA FINANCIAL PLANNING, LLC
December 10, 2008 - February 11, 2010
FIDELITY BROKERAGE SERVICES LLC
September 19, 2000 - December 15, 2006
FIDELITY BROKERAGE SERVICES LLC
October 29, 1999 - August 1, 2000
PRUCO SECURITIES, 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 |
|---|---|---|
| 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.
