EA
Eric M. Amberg
EMPOWER ADVISORY GROUP
DUBUQUE, IA
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CRD#: 4835483
EA
Professional summary
Eric Matthew Amberg is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Dubuque, Iowa and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Eric has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Matthew Amberg's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 8, 2020 - Present
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
DUBUQUE, IA
Current
October 8, 2020 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
May 31, 2019 - April 17, 2020
PRUDENTIAL SELECT STRATEGIES LLC
RIA
CRD#: 286153
Dubuque, IA
Past
October 23, 2006 - December 31, 2018
GLOBAL PORTFOLIO STRATEGIES, INC.
RIA
CRD#: 105812
DUBUQUE, IA
Past
April 30, 2005 - April 17, 2020
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
BD
CRD#: 18353
DUBUQUE, IA
Past
September 17, 2004 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
RIA
CRD#: 40596
DUBUQUE, IA
Past
August 19, 2004 - April 30, 2005
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
BD
CRD#: 40596
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EA
EMPOWER ADVISORY GROUP, LLC
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
RIA
Registered Investment Advisory firm - (11/22/2000 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/8/2020)
RR
Alaska(10/8/2020)
RR
Arizona(10/8/2020)
RR
Arkansas(10/8/2020)
RR
California(10/8/2020)
RR
Connecticut(10/8/2020)
RR
Delaware(10/8/2020)
RR
Georgia(10/8/2020)
RR
Hawaii(10/8/2020)
RR
Idaho(10/8/2020)
RR
Illinois(10/8/2020)
RR
Indiana(10/8/2020)
RR
Iowa(10/8/2020)
IAR
Iowa(10/8/2020)
RR
Kansas(10/8/2020)
RR
Kentucky(10/8/2020)
RR
Maine(10/8/2020)
RR
Massachusetts(10/8/2020)
RR
Michigan(10/8/2020)
RR
Minnesota(10/8/2020)
RR
Mississippi(10/8/2020)
RR
Missouri(10/8/2020)
RR
Montana(10/8/2020)
RR
Nebraska(10/8/2020)
RR
Nevada(10/8/2020)
RR
New Hampshire(10/8/2020)
RR
New Jersey(10/8/2020)
RR
New Mexico(10/8/2020)
RR
New York(10/8/2020)
RR
North Carolina(10/8/2020)
RR
North Dakota(10/8/2020)
RR
Oklahoma(10/8/2020)
RR
Oregon(10/8/2020)
RR
Pennsylvania(10/8/2020)
RR
Rhode Island(10/8/2020)
RR
South Carolina(10/8/2020)
RR
South Dakota(10/8/2020)
RR
Tennessee(10/8/2020)
RR
Texas(10/8/2020)
RR
Utah(10/8/2020)
RR
Vermont(10/8/2020)
RR
Virginia(10/8/2020)
RR
Washington(10/8/2020)
RR
West Virginia(10/8/2020)
RR
Wisconsin(10/8/2020)
RR
Wyoming(10/8/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EA
EMPOWER ADVISORY GROUP, LLC
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
RIA
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Contact information
Main Address
8515 East Orchard Rd 4t2, Greenwood Village, CO 80111
Mailing Address
Phone number
(866) 575-4977
Established
Firm type
Fiscal year end
# of Employees
822
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.
