Brian N. Allen
Professional summary
Brian Nicholas Allen, who also goes by Brian Allen, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Byron Center, Michigan and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Brian has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Brian Nicholas Allen's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 18, 2024 - Present
EMPOWER ADVISORY GROUP, LLC
August 4, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111April 3, 2023 - December 16, 2024
EMPOWER ADVISORY GROUP, LLC
November 24, 2021 - April 3, 2023
PERSONAL CAPITAL ADVISORS CORPORATION
July 7, 2020 - November 15, 2021
SECURITIES AMERICA ADVISORS, INC.
July 7, 2020 - November 15, 2021
SECURITIES AMERICA, INC.
April 9, 2018 - July 22, 2020
LPL FINANCIAL LLC
February 23, 2018 - July 22, 2020
LPL FINANCIAL LLC
November 17, 2016 - February 6, 2018
OSAIC INSTITUTIONS, INC.
December 18, 2015 - November 7, 2016
THE HUNTINGTON INVESTMENT COMPANY
July 7, 2015 - September 11, 2015
STATE FARM VP MANAGEMENT CORP.
February 25, 2015 - April 18, 2015
EMPOWER FINANCIAL SERVICES, 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
(8/4/2023)
(5/31/2024)
(12/18/2024)
Exams
Series 7TO
Date: 12/1/2022
General Securities Representative ExaminationSeries 6TO
Date: 12/1/2022
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.
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