Diana Law
Professional summary
Diana Law, CFP®, who also goes by Shiu Law, Diana Shu, Diana Shiu Ling Shu, Diana Shui Ling Shu, Shiu Shu, Shiu Ling Shu, Shui Ling Shu, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Torrance, California and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Diana has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Diana Law's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 19, 2020 - Present
EMPOWER ADVISORY GROUP, LLC
November 19, 2020 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111July 3, 2018 - November 19, 2019
TRANSAMERICA RETIREMENT ADVISORS, LLC
July 3, 2018 - November 19, 2019
TRANSAMERICA INVESTORS SECURITIES, LLC
February 13, 2017 - June 2, 2018
STRATEGIC ADVISERS LLC
September 5, 2014 - May 11, 2018
FIDELITY BROKERAGE SERVICES LLC
October 19, 2011 - August 18, 2014
TRANSAMERICA INVESTORS SECURITIES, LLC
August 16, 2011 - October 7, 2011
FIRST ALLIED SECURITIES, INC.
March 28, 2011 - July 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
July 24, 2009 - January 25, 2011
CHASE INVESTMENT SERVICES CORP.
October 22, 2007 - November 17, 2008
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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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.
