Nicholas W. Rawlings
Professional summary
Nicholas Windsor Rawlings, who also goes by Nicholas Windsor Rawlings, Nicholas W Rawlings, Nicholas Rawlings, Nick W Rawlings, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Kansas City, Kansas 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 2015. Nicholas has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas Windsor Rawlings's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 8, 2020 - Present
EMPOWER ADVISORY GROUP, LLC
June 30, 2020 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111May 30, 2018 - June 2, 2020
AMERICAN CENTURY INVESTMENTS PRIVATE CLIENT GROUP, INC.
July 2, 2015 - June 2, 2020
AMERICAN CENTURY INVESTMENT SERVICES INC.
January 1, 2015 - June 23, 2015
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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Exams
FINRA
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.
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