Mark Stone
Professional summary
Mark Stone, who also goes by Mark Arthur Stone Mr, Mark Arthur Stone, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Greenwood Village, Colorado and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Mark has worked at 7 firms and has passed the Series 65, Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mark Stone's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 26, 2015 - Present
EMPOWER ADVISORY GROUP, LLC
Office #1: 8515 East Orchard Rd 4t2, Greenwood Village, CO 80111July 25, 2017 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E. Orchard Rd, Greenwood Village, CO 80111September 2, 2014 - September 2, 2015
EMPOWER FINANCIAL SERVICES, INC.
October 11, 2011 - September 2, 2014
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 19, 2010 - June 24, 2011
J.P. MORGAN SECURITIES LLC
April 26, 2005 - June 21, 2006
MORGAN STANLEY & CO. LLC
April 26, 2005 - June 21, 2006
MORGAN STANLEY & CO. LLC
December 16, 2003 - April 18, 2005
IDS LIFE INSURANCE COMPANY
December 16, 2003 - April 18, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
October 23, 2003 - November 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
October 9, 2003 - November 21, 2003
IDS LIFE INSURANCE COMPANY
October 9, 2003 - November 21, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
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
(10/26/2015)
(7/25/2017)
(7/25/2017)
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
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