Richard J. Gallant
Professional summary
Richard J Gallant is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Ft. Myers, Florida and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard J Gallant's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
July 19, 2011 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111December 12, 2016 - June 8, 2022
EMPOWER ADVISORY GROUP, LLC
November 20, 2009 - July 13, 2011
MSI FINANCIAL SERVICES, INC.
November 2, 2009 - July 13, 2011
MSI FINANCIAL SERVICES, INC.
December 15, 2008 - July 20, 2009
VALIC FINANCIAL ADVISORS, INC.
December 15, 2008 - July 20, 2009
VALIC FINANCIAL ADVISORS, INC.
November 8, 2007 - October 24, 2008
STRATEGIC ADVISERS LLC
March 13, 2006 - October 24, 2008
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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Visual representation of state registrations
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Exams
FINRA
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.
