John H. Sandmann
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Henry Sandmann II, who also goes by John H Sandmann II, John Henry Sandmann III, John Henry Sandmann, John Henry Sandmann Ii, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2003. John had worked at 9 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 3, 2023 - January 7, 2024
EMPOWER ADVISORY GROUP, LLC
August 20, 2020 - April 3, 2023
PERSONAL CAPITAL ADVISORS CORPORATION
February 5, 2016 - May 21, 2020
CAPTRUST
February 5, 2016 - May 21, 2020
CAPFINANCIAL SECURITIES, LLC.
June 10, 2013 - January 20, 2016
EDWARD JONES
June 10, 2013 - January 20, 2016
EDWARD JONES
December 7, 2011 - May 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 2011 - May 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 14, 2010 - June 17, 2011
ADP BROKER-DEALER, INC.
November 15, 2004 - December 11, 2008
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
September 8, 2003 - December 31, 2005
JPMORGAN ASSET MANAGEMENT
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
Exams
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.
