Douglas B. Hortness
Professional summary
Douglas Blake Hortness, who also goes by Douglas Blake Hortness, Douglas Hortness, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Sioux Falls, South Dakota and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Douglas has worked at 12 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Blake Hortness's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 30, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
January 24, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111January 5, 2021 - March 30, 2021
FBD ASSET MGMT
January 20, 2017 - November 3, 2020
INTERVEST INTERNATIONAL, INC.
January 20, 2017 - November 3, 2020
INTERVEST INTERNATIONAL EQUITIES CORPORATION
September 29, 2015 - November 1, 2016
SCOTTRADE, INC.
December 22, 2008 - September 25, 2009
MM ASCEND LIFE INVESTOR SERVICES, LLC
July 7, 2008 - December 1, 2008
ALLSTATE FINANCIAL SERVICES, LLC
November 18, 2003 - May 25, 2004
METROPOLITAN LIFE INSURANCE COMPANY
November 18, 2003 - May 25, 2004
MSI FINANCIAL SERVICES, INC.
June 26, 2003 - November 14, 2003
U.S. BANCORP INVESTMENTS, INC.
August 7, 2001 - June 28, 2002
EDWARD JONES
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
(2/8/2022)
(2/7/2022)
(2/4/2022)
(2/4/2022)
(1/25/2022)
(1/24/2022)
(2/16/2022)
(1/25/2022)
(2/11/2022)
(1/25/2022)
(3/16/2022)
(2/4/2022)
(1/25/2022)
(1/24/2022)
(2/10/2022)
(1/25/2022)
(1/25/2022)
(1/26/2022)
(2/11/2022)
(2/7/2022)
(1/24/2022)
(1/24/2022)
(2/4/2022)
(2/9/2022)
(3/25/2022)
(2/4/2022)
(2/8/2022)
(2/10/2022)
(1/25/2022)
(2/7/2022)
(2/7/2022)
(1/24/2022)
(1/25/2022)
(2/7/2022)
(3/9/2022)
(2/4/2022)
(6/30/2022)
(2/11/2022)
(1/24/2022)
(1/27/2022)
(2/4/2022)
(1/24/2022)
(2/4/2022)
(2/7/2022)
(1/24/2022)
(2/7/2022)
Exams
Series 7TO
Date: 11/17/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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.
