Daniel M. Goldfarb

EMPOWER ADVISORY GROUP

Solon, OH

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CRD#: 5012141

Professional summary

Daniel Mark Goldfarb, CFP®, ChFC®, who also goes by Dan Goldfarb, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Solon, Ohio and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Daniel has worked at 10 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dan Goldfarb

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.

1) Solon Chamber of Commerce; Solon, OH; Board of Directors/Secretary for Non-profit organization in support of local businesses; Participate in the Board's decision making for the Chamber of Commerce and take meeting minutes monthly; Volunteer position; no compensation. /// 2) College Consultants Group / Founder, Owner. Manage all aspects of Education Consulting business. Up to 20 hours per month; 0 during normal business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Mark Goldfarb's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

ChFC^®

Chartered Financial Consultant

Experience

Current

April 3, 2023 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Solon, OH

Current

October 27, 2023 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

Greenwood Village, CO

Past

July 8, 2021 - April 3, 2023

PERSONAL CAPITAL ADVISORS CORPORATION

RIA

CRD#: 155172

Solon, OH

Past

May 29, 2020 - April 7, 2021

VALMARK SECURITIES, INC.

CRD#: 31243

PEPPER PIKE, OH

Past

November 9, 2017 - July 13, 2020

RETURN ON LIFE WEALTH PARTNERS

RIA

CRD#: 112879

CLEVELAND, OH

Past

October 10, 2017 - June 4, 2020

LPL FINANCIAL LLC

CRD#: 6413

BRECKSVILLE, OH

Past

June 6, 2016 - October 5, 2017

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Solon, OH

Past

May 3, 2016 - October 5, 2017

PRUCO SECURITIES, LLC.

CRD#: 5685

Solon, OH

Past

December 13, 2005 - March 19, 2015

OSAIC FA, INC.

RIA

CRD#: 3978

HUNT VALLEY, MD

Past

December 13, 2005 - April 5, 2006

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

CHERRY HILL, NJ

Past

December 13, 2005 - March 19, 2015

OSAIC FA, INC.

CRD#: 3978

HUNT VALLEY, MD

Past

October 28, 2005 - November 9, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

W. CONSHOHOCKEN, PA

Past

October 4, 2005 - November 9, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

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.

Highlighted states indicate IAR registrations

IAR

Ohio
(4/3/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/27/2005

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 10/2/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/3/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)

EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)

EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)

EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

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	Cover Page	Report
11/21/2023	Cover Page	Report

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.

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Firm Stability Insights

Daniel M. Goldfarb

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Daniel Mark Goldfarb's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

PERSONAL CAPITAL ADVISORS CORPORATION

VALMARK SECURITIES, INC.

RETURN ON LIFE WEALTH PARTNERS

LPL FINANCIAL LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/27/2005

Series 7TO

Date: 10/2/2022

SIE

Date: 10/1/2018

Series 7

Date: 10/3/2005

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER ADVISORY GROUP, LLC

TRUST BUT VERIFY

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