Ta Shawnta R. Mooring
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.
Ta Shawnta Raquel Mooring, who also goes by Tashawnta Raquel Mooring, was a registered financial professional .
Ta Shawnta is a previously registered financial professional and started their career in finance in 2001. Ta Shawnta had worked at 5 firms and has passed the Series 65, Series 63, SIE 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
January 29, 2018 - September 22, 2022
EMPOWER ADVISORY GROUP, LLC
October 11, 2017 - September 22, 2022
EMPOWER FINANCIAL SERVICES, INC.
October 17, 2016 - September 18, 2017
ADP BROKER-DEALER, INC.
December 17, 2001 - October 19, 2016
ONEAMERICA SECURITIES, INC.
September 14, 2001 - December 17, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
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.
