Randy D. Thompson
Professional summary
Randy D Thompson, who also goes by Randolph Thompson, Randy Thompson, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Ravenel, South Carolina and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Randy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Randy has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Randy D Thompson's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 22, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
April 11, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111June 27, 2013 - April 4, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 2013 - April 4, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 26, 2012 - January 4, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 2012 - June 22, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 |
|---|---|---|
| 02/26/2026 | ||
| 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.
