Hugo A. Flores
Professional summary
Hugo Alberto Flores JR, who also goes by Hugo Alberto Flores, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Whittier, California and EMPOWER FINANCIAL SERVICES, INC. located in Corona, California.
Hugo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Hugo has worked at 7 firms and has passed the Series 65, Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Hugo Alberto Flores JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 18, 2016 - Present
EMPOWER ADVISORY GROUP, LLC
March 6, 2014 - Present
EMPOWER FINANCIAL SERVICES, INC.
May 21, 2013 - January 13, 2014
GROVE POINT INVESTMENTS, LLC
May 21, 2013 - January 13, 2014
GROVE POINT INVESTMENTS, LLC
January 7, 2013 - April 11, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
December 18, 2012 - April 11, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
May 18, 2007 - March 7, 2008
JOHN HANCOCK DISTRIBUTORS LLC
February 13, 2006 - April 3, 2007
PRINCIPAL SECURITIES, INC.
January 22, 2004 - April 3, 2007
PRINCIPAL SECURITIES, INC.
August 29, 2003 - October 8, 2003
NATIONAL PLANNING CORPORATION
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
(3/6/2014)
(2/18/2016)
Exams
Series 7TO
Date: 11/13/2024
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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.
