Matthew J. Sherlock
Professional summary
Matthew James Sherlock, who also goes by Matt James Sherlock, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Westminster, Maryland and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Matthew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Matthew has worked at 9 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Matthew James Sherlock's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 14, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
June 14, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111May 15, 2015 - May 21, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 7, 2015 - May 21, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 3, 2008 - April 29, 2015
SCOTTRADE, INC.
December 19, 2007 - February 29, 2008
NYLIFE SECURITIES LLC
February 12, 2007 - November 30, 2007
STATE FARM VP MANAGEMENT CORP.
February 15, 2006 - November 8, 2006
BB&T INVESTMENT SERVICES, INC.
February 15, 2006 - November 8, 2006
BB&T INVESTMENT SERVICES, INC.
June 27, 2005 - January 10, 2006
EQUITABLE ADVISORS, LLC
June 15, 2005 - January 10, 2006
EQUITABLE ADVISORS, LLC
January 3, 2005 - June 15, 2005
THRIVENT INVESTMENT MANAGEMENT INC.
May 15, 2003 - June 15, 2005
THRIVENT INVESTMENT MANAGEMENT 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.
