Ashlee T. Rivers
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ashlee Taylor Rivers, who also goes by Ashlee Rivers, Ashlee K Taylor, Ashlee Taylor Rivers, Ashlee K Taylor-rivers, was a registered financial professional .
Ashlee is a previously registered financial professional and started their career in finance in 2007. Ashlee had worked at 8 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 6, 2019 - March 28, 2023
EMPOWER ADVISORY GROUP, LLC
December 6, 2019 - March 28, 2023
EMPOWER FINANCIAL SERVICES, INC.
February 22, 2019 - October 29, 2019
WELLS FARGO CLEARING SERVICES, LLC
February 22, 2019 - October 29, 2019
WELLS FARGO CLEARING SERVICES, LLC
November 30, 2016 - February 26, 2019
COMERICA SECURITIES
November 30, 2016 - February 26, 2019
COMERICA SECURITIES
August 17, 2016 - June 22, 2017
OMEGA WEALTH PARTNERS, INC.
March 19, 2013 - October 31, 2016
OMEGA SECURITIES, INC.
October 1, 2012 - March 1, 2013
J.P. MORGAN SECURITIES LLC
November 16, 2007 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
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
Exams
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.
