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Craig E. Sargent

EMPOWER ADVISORY GROUP
Franklinville, NJ
Some features on this profile are disabled
CRD#: 5552855
CS

Professional summary

Craig Emil Sargent, who also goes by Craig E. Sargent, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Franklinville, New Jersey and EMPOWER FINANCIAL SERVICES, INC. located in Franklinville, New Jersey.

Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Craig has worked at 7 firms and has passed the Series 65, Series 66, Series 6TO, SIE, Series 7 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Craig E. Sargent

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig Emil Sargent'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

July 15, 2020 - Present

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
Franklinville, NJ
Current

May 9, 2016 - Present

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
Franklinville, NJ
Past

September 17, 2012 - May 9, 2016

CANTELLA & CO., INC.

RIA
CRD#: 13905
VOORHEES, NJ
Past

September 17, 2012 - May 9, 2016

CANTELLA & CO., INC.

BD
CRD#: 13905
VOORHEES, NJ
Past

March 21, 2011 - September 17, 2012

CPI CAPITAL

RIA
CRD#: 44575
VOORHEES, NJ
Past

March 21, 2011 - September 17, 2012

CPI CAPITAL

BD
CRD#: 44575
VOORHEES, NJ
Past

July 13, 2010 - March 18, 2011

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEWARK, DE
Past

December 4, 2008 - August 12, 2009

LPL FINANCIAL LLC

RIA
CRD#: 6413
MANASQUAN, NJ
Past

October 13, 2008 - August 12, 2009

LPL FINANCIAL LLC

BD
CRD#: 6413
MANASQUAN, NJ
Past

August 21, 2008 - October 3, 2008

OSAIC WEALTH, INC.

BD
CRD#: 23131
MANASQUAN, NJ

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".
EA
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.
RR
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

RR
New Jersey
(5/9/2016)
IAR
New Jersey
(7/15/2020)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/9/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/3/2008
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/19/2008
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/20/2020
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

EA
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts250,707
AUM (Assets Under Management)$ 159,120,330,491

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

EMPOWER ADVISORY GROUP, LLC

CRD#: 112058Franklinville, NJ

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