Jose E. Almanza

EMPOWER ADVISORY GROUP

Berwyn, IL

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CRD#: 5527970

Professional summary

Jose E Almanza is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Berwyn, Illinois and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Jose is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Jose has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1)NAME: Lakeshore Financial Network (formerly Chicago Tax Professionals); INV REL: N; ADD: 2923 N. MILWAUKEE AVE. #301, CHICAGO, IL 60618; NATURE: BUSINESS & PERSONAL TAX FORM PREPARATION; POSITION: CHIEF OPERATIONS OFFICER; START DATE: 01/01/2006; NO. HR/MO: 14 HRS; NO. HR/MO DURING SEC TRADING: 0; DESCRIBE DUTIES: MANAGE BUSINESS ACTIVITIES AND PREPARE TAX RETURNS FOR CLIENTS. 2)NAME: ILOAN HOME MORTGAGE; INV REL: N; ADD: 3069 W. ARMITAGE AVE, CHICAGO, IL 60647; NATURE: RESIDENTIAL MORTGAGE LOANS; POSITION: LOAN ORIGINATOR; START DATE: 07/2015; NO. HR/MO: 48 HRS; NO. HR/MO DURING SEC TRADING: 0; DESCRIBE DUTIES: SOLICIT MORTGAGE LOAN APPLICANTS, COLLECT INFORMATION AND DOCUMENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose E Almanza's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 12, 2022 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Berwyn, IL

Current

January 4, 2021 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

Greenwood Village, CO

Past

July 25, 2016 - January 4, 2021

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

April 19, 2016 - April 28, 2016

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

SHOREWOOD, IL

Past

September 1, 2015 - April 28, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Shorewood, IL

Past

June 12, 2015 - April 28, 2016

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Shorewood, IL

Past

February 13, 2012 - October 24, 2014

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

DOWNERS GROVE, IL

Past

October 10, 2011 - October 24, 2014

PRINCIPAL SECURITIES, INC.

CRD#: 1137

DOWNERS GROVE, IL

Past

May 30, 2008 - September 21, 2011

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Illinois
(1/4/2021)

IAR

Illinois
(1/12/2022)

Wisconsin
(1/4/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/4/2022

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/10/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/12/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/29/2008

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

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Contact information

Main Address

8515 East Orchard Rd 4t2, Greenwood Village, CO 80111

Mailing Address

Phone number

(866) 575-4977

Established

Firm type

Fiscal year end

# of Employees

822

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)

EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)

EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)

EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

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	Cover Page	Report
11/21/2023	Cover Page	Report

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.

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Jose E. Almanza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose E Almanza's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

MML DISTRIBUTORS, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/4/2022

Series 63

Date: 6/10/2008

SIE

Date: 10/1/2018

Series 7

Date: 12/12/2011

Series 6

Date: 5/29/2008

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER ADVISORY GROUP, LLC

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