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JH

Jon Hatten

EMPOWER ADVISORY GROUP
Louisville, KY
Some features on this profile are disabled
CRD#: 4646092
JH

Professional summary

Jon Hatten, who also goes by Jon Stephen Hatten Mr., Jon Stephen Hatten, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Louisville, Kentucky and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Jon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jon has worked at 11 firms and has passed the Series 65, Series 66, Series 6TO, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jon Stephen Hatten Mr. | Jon Stephen Hatten

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 Jon Hatten'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 12, 2021 - Present

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
Louisville, KY
Current

November 11, 2021 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111
BD
CRD#: 13109
Greenwood Village, CO
Past

January 10, 2020 - October 25, 2021

RETIREONE INVESTMENT SERVICES, LLC

BD
CRD#: 269923
LOUISVILLE, KY
Past

April 3, 2017 - January 10, 2020

PORTSMOUTH FINANCIAL SERVICES

RIA
CRD#: 13980
Louisville, KY
Past

March 31, 2017 - January 10, 2020

PORTSMOUTH FINANCIAL SERVICES

BD
CRD#: 13980
Louisville, KY
Past

August 20, 2015 - March 16, 2017

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
Georgetown, KY
Past

June 4, 2015 - March 16, 2017

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
Georgetown, KY
Past

December 6, 2013 - May 19, 2014

FARMERS FINANCIAL SOLUTIONS, LLC

BD
CRD#: 103863
ENGLEWOOD, CO
Past

April 18, 2012 - December 14, 2012

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
LEXINGTON, KY
Past

December 14, 2009 - April 12, 2010

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
ASHLAND, KY
Past

November 13, 2009 - April 12, 2010

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
ASHLAND, KY
Past

January 22, 2009 - November 13, 2009

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
ASHLAND, KY
Past

May 25, 2006 - May 14, 2008

J.J.B. HILLIARD, W.L. LYONS, LLC

BD
CRD#: 453
HUNTINGTON, WV
Past

May 19, 2003 - May 15, 2006

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
HUNTINGTON, WV

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".
EA
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.
RR
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

RR
Alabama
(11/11/2021)
RR
Alaska
(11/11/2021)
RR
Arizona
(11/11/2021)
RR
Arkansas
(11/11/2021)
RR
California
(11/11/2021)
RR
Connecticut
(11/11/2021)
RR
Delaware
(11/11/2021)
RR
Georgia
(11/11/2021)
RR
Hawaii
(11/11/2021)
RR
Idaho
(11/11/2021)
RR
Illinois
(11/11/2021)
RR
Indiana
(11/11/2021)
RR
Iowa
(11/11/2021)
RR
Kansas
(11/11/2021)
RR
Kentucky
(11/11/2021)
IAR
Kentucky
(11/12/2021)
RR
Maine
(11/11/2021)
RR
Massachusetts
(11/11/2021)
RR
Michigan
(11/11/2021)
RR
Minnesota
(11/11/2021)
RR
Mississippi
(11/11/2021)
RR
Missouri
(11/11/2021)
RR
Montana
(11/11/2021)
RR
Nebraska
(11/11/2021)
RR
Nevada
(11/11/2021)
RR
New Hampshire
(11/11/2021)
RR
New Jersey
(11/11/2021)
RR
New Mexico
(11/11/2021)
RR
New York
(11/11/2021)
RR
North Carolina
(11/11/2021)
RR
North Dakota
(11/11/2021)
RR
Oklahoma
(11/11/2021)
RR
Oregon
(11/11/2021)
RR
Pennsylvania
(11/11/2021)
RR
Rhode Island
(11/11/2021)
RR
South Carolina
(11/11/2021)
RR
South Dakota
(11/11/2021)
RR
Tennessee
(5/3/2023)
RR
Texas
(11/11/2021)
RR
Utah
(11/11/2021)
RR
Vermont
(11/11/2021)
RR
Virginia
(11/11/2021)
RR
Washington
(11/11/2021)
RR
West Virginia
(11/11/2021)
RR
Wisconsin
(11/11/2021)
RR
Wyoming
(11/11/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/20/2015
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/16/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/16/2014
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EA
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts250,707
AUM (Assets Under Management)$ 159,120,330,491

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

EMPOWER ADVISORY GROUP, LLC

CRD#: 112058Louisville, KY

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