Adam D. Osterman
Professional summary
Adam David Osterman, who also goes by Adam D Osterman, Adam David Osterman, Adam Osterman, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Jacksonville, Florida and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Adam has worked at 10 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 Adam David Osterman's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 11, 2023 - Present
EMPOWER ADVISORY GROUP, LLC
February 22, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111February 8, 2022 - February 7, 2023
CITIGROUP GLOBAL MARKETS INC.
February 7, 2022 - February 7, 2023
CITIGROUP GLOBAL MARKETS INC.
October 1, 2018 - November 24, 2021
VALIC FINANCIAL ADVISORS, INC.
September 28, 2018 - November 24, 2021
VALIC FINANCIAL ADVISORS, INC.
September 21, 2017 - September 24, 2018
PNC MANAGED ACCOUNT SOLUTIONS, INC.
September 11, 2017 - September 24, 2018
BBVA SECURITIES INC.
June 1, 2016 - June 5, 2017
J.P. MORGAN SECURITIES LLC
June 1, 2016 - June 5, 2017
J.P. MORGAN SECURITIES LLC
July 1, 2013 - May 31, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 22, 2013 - May 31, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 9, 2012 - February 11, 2013
UBS FINANCIAL SERVICES INC.
February 14, 2011 - May 16, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 15, 2008 - January 10, 2011
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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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.
