KEVIN L. GAFFEY
EMPOWER ADVISORY GROUP | Regional Vice President
Neptune, NJ
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CRD#: 6017952
Professional summary
KEVIN LEO GAFFEY, who also goes by Kevin L Gaffey, Kevin Leo Gaffey, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Neptune, New Jersey and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
KEVIN is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. KEVIN has worked at 4 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kevin L Gaffey | Kevin Leo Gaffey
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.
CRS (Client Relationship Summary) - RIA
Click below to view KEVIN LEO GAFFEY's 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®
NoneExperience
Current
September 30, 2024 - Present
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
Neptune, NJ
Current
September 11, 2024 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
October 15, 2019 - April 25, 2024
FISHER INVESTMENTS
RIA
CRD#: 107342
DALLAS, TX
Past
January 24, 2014 - October 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ROLLING MEADOWS, IL
Past
November 18, 2013 - October 16, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ROLLING MEADOWS, IL
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".
EA
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.RR
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
RR
Alabama(9/27/2024)
RR
Alaska(9/27/2024)
RR
Arizona(9/27/2024)
RR
Arkansas(9/27/2024)
RR
California(9/27/2024)
RR
Connecticut(9/27/2024)
RR
Delaware(9/27/2024)
RR
Georgia(9/27/2024)
RR
Hawaii(9/27/2024)
RR
Idaho(9/27/2024)
RR
Illinois(9/27/2024)
RR
Indiana(9/27/2024)
RR
Iowa(9/27/2024)
RR
Kansas(9/27/2024)
RR
Kentucky(9/27/2024)
RR
Maine(9/27/2024)
RR
Massachusetts(9/27/2024)
RR
Michigan(9/27/2024)
RR
Minnesota(9/27/2024)
RR
Mississippi(9/27/2024)
RR
Missouri(9/27/2024)
RR
Montana(9/27/2024)
RR
Nebraska(9/27/2024)
RR
Nevada(9/27/2024)
RR
New Hampshire(9/27/2024)
RR
New Jersey(9/27/2024)
IAR
New Jersey(9/30/2024)
RR
New Mexico(9/27/2024)
RR
New York(9/27/2024)
RR
North Carolina(9/27/2024)
RR
North Dakota(9/27/2024)
RR
Oklahoma(9/27/2024)
RR
Oregon(9/27/2024)
RR
Pennsylvania(9/27/2024)
RR
Rhode Island(9/27/2024)
RR
South Carolina(9/27/2024)
RR
South Dakota(9/27/2024)
RR
Tennessee(9/27/2024)
RR
Texas(9/27/2024)
RR
Utah(9/27/2024)
RR
Vermont(9/27/2024)
RR
Virginia(9/27/2024)
RR
Washington(9/27/2024)
RR
West Virginia(9/27/2024)
RR
Wisconsin(9/27/2024)
RR
Wyoming(9/27/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/11/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
EA
EMPOWER ADVISORY GROUP, LLC
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
RIA
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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
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
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Company Information
EMPOWER ADVISORY GROUP, LLC
Regional Vice PresidentCRD#: 112058Neptune, NJTRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
