Stephen Ward
Professional summary
Stephen Ward, who also goes by Stephen Charles Ward, Stephen Ward, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Bronxville, New York and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Stephen has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Ward's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 28, 2025 - Present
EMPOWER ADVISORY GROUP, LLC
June 10, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111February 28, 2014 - November 11, 2020
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
February 28, 2014 - May 19, 2021
MUTUAL OF AMERICA SECURITIES LLC
June 6, 2013 - January 9, 2014
MML INVESTORS SERVICES, LLC
May 17, 2013 - January 9, 2014
MML INVESTORS SERVICES, LLC
March 14, 2012 - February 20, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 12, 2012 - February 20, 2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
March 4, 2011 - January 25, 2012
EQUITABLE ADVISORS, LLC
September 1, 2010 - January 25, 2012
EQUITABLE ADVISORS, LLC
December 20, 2007 - March 13, 2009
CHURCHILL CAPITAL USA, INC.
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 55
Date: 3/10/2008
Limited Representative-Equity Trader ExamFINRA
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.
