Richard K. Dyson

EMPOWER ADVISORY GROUP

BRUNSWICK, OH

Some features on this profile are disabled

CRD#: 5969377

Professional summary

Richard K Dyson, who also goes by Rick Dyson, Richard Keith Dyson, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Brunswick, Ohio and EMPOWER FINANCIAL SERVICES, INC. located in Northwood, Ohio.

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 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Dyson | Richard Keith Dyson

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.

Business Ownership; CEO of Me, LLC; Member; established due to being a 1099 employee; Independence, OH 44131; Investment Related; February 2022; 20 to 39 hours per month; 20-39 during trading hours. Outside Employment; CEO Of Me, LLC; Member; Independence, OH 44131; Investment Related; February 2022; 20-39 hours per month; 20-39 during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard K Dyson'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

May 30, 2024 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

BRUNSWICK, OH

Current

May 30, 2024 - Present

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

Northwood, OH

Past

November 28, 2022 - January 10, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Westlake, OH

Past

November 28, 2022 - January 10, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Westlake, OH

Past

January 7, 2022 - October 24, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

INDEPENDENCE, OH

Past

January 7, 2022 - October 24, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

INDEPENDENCE, OH

Past

May 15, 2018 - January 18, 2022

PNC WEALTH MANAGEMENT LLC

RIA

CRD#: 129052

PARMA, OH

Past

May 15, 2018 - January 18, 2022

PNC WEALTH MANAGEMENT LLC

CRD#: 129052

PARMA, OH

Past

July 29, 2014 - May 8, 2018

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

WESTLAKE, OH

Past

July 28, 2014 - May 8, 2018

J.P. MORGAN SECURITIES LLC

CRD#: 79

WESTLAKE, OH

Past

March 18, 2014 - July 18, 2014

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

LAKEWOOD, OH

Past

October 3, 2011 - July 18, 2014

KEY INVESTMENT SERVICES LLC

CRD#: 136300

LAKEWOOD, OH

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

Ohio
(5/30/2024)

IAR

Ohio
(5/30/2024)

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: 3/17/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/20/2011

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: 12/16/2013

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/30/2011

Investment Company Products/Variable Contracts 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
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

Richard K. Dyson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard K Dyson's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

PNC WEALTH MANAGEMENT LLC

PNC WEALTH MANAGEMENT LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

KEY INVESTMENT SERVICES LLC

KEY INVESTMENT SERVICES LLC

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/17/2014

Series 63

Date: 10/20/2011

SIE

Date: 10/1/2018

Series 7

Date: 12/16/2013

Series 6

Date: 9/30/2011

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