Benjamin W. Beatty

EMPOWER ADVISORY GROUP

DENVER, CO

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CRD#: 5666130

Professional summary

Benjamin Wade Beatty, who also goes by Benjamin Beatty, Ben Beatty, Wade Beatty, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Denver, Colorado and EMPOWER FINANCIAL SERVICES, INC. located in Denver, Colorado.

Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Benjamin has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Benjamin Beatty | Ben Beatty | Wade Beatty

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.

Name: Room Rental Position: I own the property Nature: Rental Investment Related: Yes Hours: 8Securities Trading Hours: 0Start Date: 03/15/2022 Address: Home Address, Denver CO 80221, United States Description: Rent "mother-in-law" suite in the basement of residence.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Wade Beatty'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

November 5, 2024 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

DENVER, CO

Current

November 5, 2024 - Present

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

Denver, CO

Past

November 24, 2023 - October 21, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

November 24, 2023 - October 21, 2024

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

March 31, 2023 - October 18, 2023

COLORADO FINANCIAL SERVICE CORPORATION

RIA

CRD#: 104343

CENTENNIAL, CO

Past

March 31, 2023 - October 18, 2023

COLORADO FINANCIAL SERVICE CORPORATION

CRD#: 104343

CENTENNIAL, CO

Past

November 24, 2020 - August 5, 2022

ROBINHOOD FINANCIAL, LLC

CRD#: 165998

Denver, CO

Past

May 14, 2014 - November 6, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

September 13, 2012 - November 6, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

September 26, 2011 - May 18, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA

CRD#: 2881

DENVER, CO

Past

September 26, 2011 - May 18, 2012

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

DENVER, CO

Past

April 15, 2010 - August 19, 2011

MORGAN STANLEY

RIA

CRD#: 149777

ENGLEWOOD, CO

Past

March 25, 2010 - August 19, 2011

MORGAN STANLEY

CRD#: 149777

ENGLEWOOD, CO

Past

July 22, 2009 - March 24, 2010

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

ENGLEWOOD, CO

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

Alabama
(11/5/2024)

Alaska
(11/5/2024)

Arizona
(11/5/2024)

Arkansas
(11/5/2024)

California
(11/5/2024)

Colorado
(11/5/2024)

IAR

Colorado
(11/5/2024)

Connecticut
(11/5/2024)

Delaware
(11/5/2024)

Georgia
(11/5/2024)

Hawaii
(11/5/2024)

Idaho
(11/5/2024)

Illinois
(11/5/2024)

Indiana
(11/5/2024)

Iowa
(11/5/2024)

Kansas
(11/5/2024)

Kentucky
(11/5/2024)

Maine
(11/5/2024)

Massachusetts
(11/5/2024)

Michigan
(11/5/2024)

Minnesota
(11/5/2024)

Mississippi
(11/5/2024)

Missouri
(11/5/2024)

Montana
(11/5/2024)

Nebraska
(11/5/2024)

Nevada
(11/5/2024)

New Hampshire
(11/5/2024)

New Jersey
(11/5/2024)

New Mexico
(11/5/2024)

New York
(11/5/2024)

North Carolina
(11/5/2024)

North Dakota
(11/5/2024)

Oklahoma
(11/5/2024)

Oregon
(11/5/2024)

Pennsylvania
(11/5/2024)

Rhode Island
(11/5/2024)

South Carolina
(11/5/2024)

South Dakota
(11/5/2024)

Tennessee
(11/5/2024)

Texas
(11/5/2024)

Utah
(11/5/2024)

Vermont
(11/5/2024)

Virginia
(11/5/2024)

Washington
(11/5/2024)

West Virginia
(11/5/2024)

Wisconsin
(11/5/2024)

Wyoming
(11/5/2024)

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: 3/29/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/6/2009

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: 7/21/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/6/2019

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 9/8/2017

Investment Company Products/Variable Contracts Principal 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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Firm Stability Insights

Benjamin W. Beatty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Benjamin Wade Beatty's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

COLORADO FINANCIAL SERVICE CORPORATION

COLORADO FINANCIAL SERVICE CORPORATION

ROBINHOOD FINANCIAL, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

MORGAN STANLEY

MORGAN STANLEY

J.P. TURNER & COMPANY, L.L.C.

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2023

Series 63

Date: 8/6/2009

SIE

Date: 10/1/2018

Series 7

Date: 7/21/2009

Series 24

Date: 5/6/2019

Series 26

Date: 9/8/2017

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

TRUST BUT VERIFY

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