Austen Harvey
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.
Austen Harvey, who also goes by Austen David Harvey, Austen David Lindsey, Austen Lindsey, was a registered financial professional .
Austen is a previously registered financial professional and started their career in finance in 2013. Austen had worked at 9 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2024 - May 27, 2025
EMPOWER ADVISORY GROUP, LLC
August 21, 2024 - May 27, 2025
EMPOWER FINANCIAL SERVICES, INC.
November 3, 2021 - April 18, 2023
OSAIC WEALTH, INC.
November 3, 2021 - April 18, 2023
OSAIC WEALTH, INC.
September 26, 2018 - October 27, 2021
PROSPERA FINANCIAL SERVICES, INC.
September 26, 2018 - October 27, 2021
PROSPERA FINANCIAL SERVICES, INC.
January 27, 2017 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
July 6, 2016 - March 9, 2018
SCOTTRADE, INC.
April 22, 2016 - July 14, 2016
J.P. MORGAN SECURITIES LLC
April 22, 2016 - July 14, 2016
J.P. MORGAN SECURITIES LLC
May 7, 2015 - March 24, 2016
TD AMERITRADE, INC.
May 7, 2015 - March 24, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 7, 2015 - March 24, 2016
TD AMERITRADE, INC.
December 17, 2013 - March 12, 2014
TD AMERITRADE, INC.
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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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 |
|---|---|---|
| 02/26/2026 | ||
| 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.
