Joseph Herron
Professional summary
Joseph Herron, CFP®, who also goes by Joe Herron III, Joseph Herron III, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Racine, Wisconsin and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Joseph has worked at 7 firms and has passed the Series 65, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Herron's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 14, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
April 14, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111June 1, 2021 - April 1, 2022
ANNEX WEALTH MANAGEMENT, LLC
February 10, 2021 - April 13, 2021
HARBOUR INVESTMENTS, INC.
January 8, 2018 - February 11, 2021
TRANSAMERICA RETIREMENT ADVISORS, LLC
January 8, 2018 - February 11, 2021
TRANSAMERICA INVESTORS SECURITIES, LLC
September 2, 2016 - January 3, 2018
EMPOWER ADVISORY GROUP, LLC
December 6, 2007 - January 3, 2018
EMPOWER FINANCIAL SERVICES, INC.
January 11, 2007 - November 12, 2007
THRIVENT INVESTMENT MANAGEMENT INC.
September 29, 2006 - November 12, 2007
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.
