Leah R. Halonen
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.
Leah Rose Halonen, who also goes by Leah Halonen, was a registered financial professional .
Leah is a previously registered financial professional and started their career in finance in 2004. Leah had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 23, 2016 - October 31, 2019
EMPOWER ADVISORY GROUP, LLC
August 19, 2016 - October 22, 2019
EMPOWER FINANCIAL SERVICES, INC.
June 7, 2012 - August 2, 2016
NATIONWIDE INVESTMENT ADVISORS, LLC
February 7, 2011 - May 30, 2012
NATIONWIDE SECURITIES, LLC
April 29, 2010 - February 7, 2011
NATIONWIDE SECURITIES, LLC
April 19, 2010 - August 2, 2016
NATIONWIDE INVESTMENT SERVICES CORPORATION
June 2, 2008 - April 15, 2010
OSAIC SERVICES, INC.
May 28, 2008 - October 29, 2008
AMERICAN GENERAL SECURITIES INCORPORATED
October 31, 2005 - April 15, 2010
OSAIC SERVICES, INC.
October 15, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
June 15, 2004 - September 20, 2004
WOODBURY FINANCIAL SERVICES, 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
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.
