Marie Ellen Sparks

EMPOWER ADVISORY GROUP

West Dennis, MA

Some features on this profile are disabled

CRD#: 5750145

Professional summary

Marie Ellen Sparks, who also goes by Marie Ellen Ristuccia, Marie E Sparks, Marie Ellen Sparks, Marie Sparks, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in West Dennis, Massachusetts and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Marie Ellen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Marie Ellen has worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marie Ellen Ristuccia | Marie E Sparks | Marie Ellen Sparks | Marie Sparks

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 Marie Ellen Sparks'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 2, 2026 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

West Dennis, MA

Current

December 23, 2025 - Present

EMPOWER FINANCIAL SERVICES, INC.

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

CRD#: 13109

Greenwood Village, CO

Past

March 2, 2021 - January 10, 2024

PUTNAM INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 106629

BOSTON, MA

Past

February 22, 2021 - January 10, 2024

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

Boston, MA

Past

June 16, 2014 - December 31, 2020

TD AMERITRADE, INC.

RIA

CRD#: 7870

Westford, MA

Past

June 16, 2014 - January 11, 2021

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Westford, MA

Past

May 19, 2014 - December 31, 2020

TD AMERITRADE, INC.

CRD#: 7870

BOSTON, MA

Past

May 23, 2013 - April 28, 2014

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MERRIMACK, NH

Past

May 17, 2013 - April 28, 2014

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

Past

July 29, 2010 - May 1, 2013

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WELLESLEY, MA

Past

March 31, 2010 - May 1, 2013

EQUITABLE ADVISORS, LLC

CRD#: 6627

WELLESLEY, MA

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

Massachusetts
(12/23/2025)

IAR

Massachusetts
(1/2/2026)

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: 5/7/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/30/2010

General Securities 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
02/26/2026	Cover Page	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Marie Ellen Sparks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Marie Ellen Sparks's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

PUTNAM INVESTMENT MANAGEMENT, LLC

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/7/2010

SIE

Date: 10/1/2018

Series 7

Date: 3/30/2010

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

Similar Advisors