Alisha L. Haley
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.
Alisha Lashawn Haley, who also goes by Alisha L. Haley, Alisha Haley, Alisha Lashawn Robinson, was a registered financial professional .
Alisha is a previously registered financial professional and started their career in finance in 2016. Alisha had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 28, 2023 - October 4, 2023
EMPOWER ADVISORY GROUP, LLC
August 28, 2023 - October 4, 2023
EMPOWER FINANCIAL SERVICES, INC.
September 1, 2022 - July 13, 2023
OSAIC WEALTH, INC.
September 1, 2022 - July 13, 2023
OSAIC WEALTH, INC.
March 14, 2022 - September 8, 2022
WEALTH SPHERE FINANCIAL, LLC
December 9, 2020 - March 25, 2022
SCHWAB WEALTH ADVISORY, INC.
December 9, 2020 - March 25, 2022
CHARLES SCHWAB & CO., INC.
November 27, 2019 - October 22, 2020
J.P. MORGAN SECURITIES LLC
November 27, 2019 - October 22, 2020
J.P. MORGAN SECURITIES LLC
April 18, 2017 - November 12, 2019
SCHWAB WEALTH ADVISORY, INC.
January 27, 2017 - April 18, 2017
CHARLES SCHWAB & CO., INC.
March 4, 2016 - November 12, 2019
CHARLES SCHWAB & CO., 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
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.
