Richard V. Welch

EMPOWER ADVISORY GROUP

Deer Park, TX

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CRD#: 4275027

Professional summary

Richard Vernon Welch is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Deer Park, Texas and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 16 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE, Series 31, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Richard Vernon Welch'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

November 17, 2025 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Deer Park, TX

Current

November 8, 2021 - Present

EMPOWER FINANCIAL SERVICES, INC.

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

CRD#: 13109

Greenwood Village, CO

Past

April 13, 2015 - December 4, 2017

CAPITAL ONE INVESTING, LLC

CRD#: 45744

Brenham, TX

Past

April 9, 2015 - December 4, 2017

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

PORT ARTHUR, TX

Past

March 7, 2011 - April 25, 2013

TD AMERITRADE, INC.

RIA

CRD#: 7870

HOUSTON, TX

Past

March 7, 2011 - April 25, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

HOUSTON, TX

Past

February 24, 2011 - April 25, 2013

TD AMERITRADE, INC.

CRD#: 7870

HOUSTON, TX

Past

October 27, 2010 - December 22, 2010

NATIONWIDE SECURITIES, LLC

CRD#: 11173

HOUSTON, TX

Past

August 25, 2009 - May 21, 2010

PFS INVESTMENTS INC.

CRD#: 10111

HOUSTON, TX

Past

April 8, 2008 - August 28, 2008

BOK FINANCIAL ASSET MANAGEMENT, INC.

RIA

CRD#: 106507

HOUSTON, TX

Past

April 8, 2008 - September 9, 2008

MBM SECURITIES, INC.

CRD#: 124850

HOUSTON, TX

Past

October 30, 2003 - March 24, 2008

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

HOUSTON, TX

Past

October 28, 2003 - March 24, 2008

CHARLES SCHWAB & CO., INC.

CRD#: 5393

HOUSTON, TX

Past

June 3, 2003 - September 11, 2003

WESTCOTT SECURITIES, LLC

CRD#: 45532

HOUSTON, TX

Past

March 10, 2003 - June 3, 2003

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

HOUSTON, TX

Past

March 10, 2003 - June 3, 2003

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

March 10, 2003 - June 3, 2003

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

June 29, 2001 - March 10, 2003

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

WEBSTER, TX

Past

June 29, 2001 - March 10, 2003

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

October 3, 2000 - July 3, 2001

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

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
(11/12/2021)

Alaska
(11/15/2021)

Arizona
(11/19/2021)

Arkansas
(11/10/2021)

California
(11/9/2021)

Connecticut
(11/12/2021)

Delaware
(11/10/2021)

Georgia
(11/9/2021)

Hawaii
(3/29/2022)

Idaho
(11/9/2021)

Illinois
(12/16/2021)

Indiana
(11/17/2021)

Iowa
(11/9/2021)

Kansas
(11/9/2021)

Kentucky
(11/12/2021)

Maine
(11/9/2021)

Massachusetts
(11/9/2021)

Michigan
(11/10/2021)

Minnesota
(11/15/2021)

Mississippi
(11/10/2021)

Missouri
(11/9/2021)

Montana
(11/26/2021)

Nebraska
(11/10/2021)

Nevada
(11/24/2021)

New Hampshire
(11/15/2021)

New Jersey
(11/10/2021)

New Mexico
(11/10/2021)

New York
(11/21/2021)

North Carolina
(11/10/2021)

North Dakota
(11/15/2021)

Oklahoma
(11/10/2021)

Oregon
(11/17/2021)

Pennsylvania
(11/10/2021)

Rhode Island
(11/12/2021)

South Carolina
(11/29/2021)

South Dakota
(11/30/2021)

Tennessee
(11/9/2021)

Texas
(11/9/2021)

IAR

Texas
(11/17/2025)

Utah
(11/12/2021)

Vermont
(11/10/2021)

Virginia
(11/9/2021)

Washington
(11/10/2021)

West Virginia
(11/16/2021)

Wisconsin
(11/10/2021)

Wyoming
(11/19/2021)

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 66

Date: 11/8/2025

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/29/2021

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/9/2021

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/6/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 12/4/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 7/19/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/26/2001

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/2/2000

Investment Company Products/Variable Contracts Representative 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

Richard V. Welch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Vernon Welch's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

CAPITAL ONE INVESTING, LLC

CAPITAL ONE ADVISORS, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

NATIONWIDE SECURITIES, LLC

PFS INVESTMENTS INC.

BOK FINANCIAL ASSET MANAGEMENT, INC.

MBM SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

WESTCOTT SECURITIES, LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

AMERIPRISE ADVISOR SERVICES, INC.

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/2025

Series 63

Date: 10/29/2021

Series 65

Date: 2/9/2021

Series 7TO

Date: 11/6/2021

SIE

Date: 12/4/2017

Series 31

Date: 7/19/2001

Series 7

Date: 1/26/2001

Series 6

Date: 10/2/2000

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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