Marc L. Delphine
Professional summary
Marc Lawrence Delphine is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Scottsdale, Arizona and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Marc is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Marc has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Marc Lawrence Delphine's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 10, 2023 - Present
EMPOWER ADVISORY GROUP, LLC
April 4, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111August 11, 2021 - April 4, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
May 25, 2017 - August 11, 2021
PRUCO SECURITIES, LLC.
May 16, 2017 - August 11, 2021
PRUCO SECURITIES, LLC.
June 10, 2016 - October 20, 2016
EDWARD JONES
March 29, 2016 - October 20, 2016
EDWARD JONES
November 21, 2013 - December 31, 2015
EQUALITY FUNDS, INC.
January 24, 2013 - August 23, 2013
INTEGRITY FINANCIAL CORPORATION
June 3, 2011 - September 12, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 3, 2011 - September 12, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 24, 2009 - May 23, 2011
FORESTERS EQUITY SERVICES, INC.
October 25, 2007 - May 23, 2011
FORESTERS EQUITY SERVICES, INC.
October 9, 2002 - October 23, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 21, 2000 - October 16, 2002
WOODBURY FINANCIAL SERVICES, INC.
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
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Exams
FINRA
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.
