Richard E. Koontz
Professional summary
Richard Eric Koontz, who also goes by Richard Eric Koontz, Richard Koontz, Rick Koontz, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Fountain Hills, Arizona and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Richard has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Eric Koontz's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 22, 2025 - Present
EMPOWER ADVISORY GROUP, LLC
January 19, 2025 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111December 12, 2012 - April 24, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 26, 2012 - April 24, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 22, 2011 - November 6, 2012
MSI FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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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 |
|---|---|---|
| 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.
