James H. Vandiver
Professional summary
James Herman Vandiver, who also goes by Jackson Herman Vandiver IV, Jackson Hermon Vandiver Iv, Jackson Hermon Vandiver, James Herman Vandiver Iv, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Adairsville, Georgia and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. James has worked at 9 firms and has passed the Series 66, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Herman Vandiver's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2023 - Present
EMPOWER ADVISORY GROUP, LLC
April 21, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111August 26, 2016 - June 3, 2021
LPL FINANCIAL LLC
April 25, 2014 - April 22, 2021
HIGHPOINT PLANNING PARTNERS
February 20, 2014 - January 28, 2016
LPL FINANCIAL LLC
January 10, 2014 - June 3, 2021
LPL FINANCIAL LLC
March 11, 2011 - December 24, 2013
EDWARD JONES
February 25, 2011 - December 24, 2013
EDWARD JONES
October 13, 2010 - March 3, 2011
CHASE INVESTMENT SERVICES CORP.
January 27, 2010 - August 26, 2010
WORLD GROUP SECURITIES, INC.
December 14, 2007 - June 3, 2008
QA3 FINANCIAL CORP.
November 12, 2004 - August 23, 2005
FIFTH THIRD SECURITIES, 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
(4/25/2023)
(4/25/2023)
Exams
Series 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 |
|---|---|---|
| 02/26/2026 | ||
| 03/28/2025 | ||
| 11/21/2023 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
