Alison J. Mandel-stein

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CRD#: 5968761

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Alison Jean Mandel-stein, who also goes by Alison Jean Mandel, Alison Jean Mandel-stein, Alison Stein, was a registered financial professional .

Alison is a previously registered financial professional and started their career in finance in 2011. Alison had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Alison Jean Mandel | Alison Jean Mandel-Stein | Alison Stein

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 OF BUSINESS: BB Treehouse NON-INVESTMENT RELATED ADDRESS (City/State): Scottsdale, AZ NATURE OF BUSINESS: Teaching life skills to special needs children POSITION: Habilitation Provider START DATE: 12/2022 APPROX. HOURS/MONTH: 20 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: Help my son work on public safety, self-care and hygiene skills. NAME OF BUSINESS: Long-term Rental Property NON-INVESTMENT RELATED ADDRESS (City/State): Scottsdale, AZ NATURE OF BUSINESS: Rental Property POSITION: Owner START DATE: 2018 APPROX. HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: Answer any maintenance requests from tenant NAME OF BUSINESS: Vacation Short-term Rental Property NON-INVESTMENT RELATED ADDRESS (City/State): Flagstaff, AZ NATURE OF BUSINESS: Vacation Rental POSITION: Owner START DATE: 12/2022 APPROX. HOURS/MONTH: 1 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: Answer any maintenance and service requests from tenant, schedule cleaners

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 30, 2024 - May 24, 2024

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

SCOTTSDALE, AZ

Past

January 26, 2024 - May 24, 2024

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

October 23, 2020 - January 11, 2023

VANGUARD ADVISERS, INC.

RIA

CRD#: 106715

Scottsdale, AZ

Past

August 26, 2020 - January 11, 2023

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

Past

March 30, 2020 - May 27, 2020

WADDELL & REED

CRD#: 866

MIDVALE, UT

Past

January 12, 2018 - April 5, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

SCOTTSDALE, AZ

Past

September 8, 2011 - April 8, 2016

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/22/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/20/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/5/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/7/2011

General Securities Representative Examination

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

Alison J. Mandel-stein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

VANGUARD ADVISERS, INC.

VANGUARD MARKETING CORPORATION

WADDELL & REED

J.P. MORGAN SECURITIES LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/22/2020

Series 63

Date: 9/20/2011

SIE

Date: 4/5/2018

Series 7

Date: 9/7/2011

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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