Nicholas P. Sanchez
Professional summary
Nicholas Patrick Sanchez, CLU®, who also goes by Nicholas Patrick Sanchez, Nicholas Sanchez, Nicholas P Sanchez, Nick Sanchez, Nicolas P Sanchez, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Austin, Texas and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Nicholas has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, Series 99TO, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Patrick Sanchez's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2024 - Present
EMPOWER ADVISORY GROUP, LLC
June 12, 2024 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111March 22, 2024 - May 21, 2024
LPL FINANCIAL LLC
February 9, 2024 - May 21, 2024
LPL FINANCIAL LLC
October 27, 2022 - January 4, 2024
J.P. MORGAN SECURITIES LLC
October 22, 2019 - April 30, 2020
HORACE MANN INVESTORS, INC.
October 14, 2013 - October 2, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 7TO
Date: 2/20/2024
General Securities Representative ExaminationSeries 99TO
Date: 2/9/2024
Operations Professional ExaminationSeries 6TO
Date: 10/27/2022
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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.
