Jakob N. Roundy

EMPOWER ADVISORY GROUP

North Salt Lake, UT

Some features on this profile are disabled

CRD#: 6472465

Professional summary

Jakob N Roundy, who also goes by Jakob N Roundy, Jakob Nicklaus Roundy, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in North Salt Lake, Utah and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Jakob is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Jakob has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Jakob N Roundy | Jakob Nicklaus Roundy

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Driving as an independent contractor with Uber and Lyft.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jakob N Roundy's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

September 18, 2025 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

North Salt Lake, UT

Current

December 23, 2024 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

Greenwood Village, CO

Past

April 9, 2024 - December 13, 2024

MWA FINANCIAL SERVICES INC.

CRD#: 112630

Bountiful, UT

Past

October 5, 2022 - August 24, 2023

E*TRADE SECURITIES LLC

CRD#: 29106

South Jordan, UT

Past

November 9, 2021 - August 24, 2023

MORGAN STANLEY

CRD#: 149777

South Jordan, UT

Past

May 1, 2015 - October 28, 2021

E*TRADE SECURITIES LLC

CRD#: 29106

SANDY, UT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(1/6/2025)

Alaska
(1/9/2025)

Arizona
(1/6/2025)

Arkansas
(1/6/2025)

California
(12/23/2024)

Connecticut
(1/3/2025)

Delaware
(1/7/2025)

Georgia
(12/26/2024)

Hawaii
(1/15/2025)

Idaho
(1/6/2025)

Illinois
(1/27/2025)

Indiana
(1/3/2025)

Iowa
(1/3/2025)

Kansas
(12/24/2024)

Kentucky
(1/3/2025)

Maine
(1/6/2025)

Massachusetts
(1/21/2025)

Michigan
(1/7/2025)

Minnesota
(1/3/2025)

Mississippi
(1/3/2025)

Missouri
(12/24/2024)

Montana
(1/6/2025)

Nebraska
(12/26/2024)

Nevada
(1/3/2025)

New Hampshire
(1/3/2025)

New Jersey
(1/3/2025)

New Mexico
(1/2/2025)

New York
(1/9/2025)

North Carolina
(1/3/2025)

North Dakota
(1/6/2025)

Oklahoma
(1/6/2025)

Oregon
(1/2/2025)

Pennsylvania
(12/24/2024)

Rhode Island
(1/6/2025)

South Carolina
(1/3/2025)

South Dakota
(1/3/2025)

Tennessee
(12/26/2024)

Texas
(12/24/2024)

Utah
(1/2/2025)

IAR

Utah
(9/18/2025)

Vermont
(1/3/2025)

Virginia
(1/4/2025)

Washington
(1/3/2025)

West Virginia
(1/3/2025)

Wisconsin
(1/3/2025)

Wyoming
(1/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/13/2025

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/22/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/1/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 9/12/2022

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 4/13/2022

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 9/7/2017

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

8515 East Orchard Rd 4t2, Greenwood Village, CO 80111

Mailing Address

Phone number

(866) 575-4977

Established

Firm type

Fiscal year end

# of Employees

822

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)

EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)

EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)

EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

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	Cover Page	Report
11/21/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Jakob N. Roundy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jakob N Roundy's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

MWA FINANCIAL SERVICES INC.

E*TRADE SECURITIES LLC

MORGAN STANLEY

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 9/13/2025

Series 63

Date: 5/22/2015

SIE

Date: 10/1/2018

Series 7

Date: 5/1/2015

Series 9

Date: 9/12/2022

Series 10

Date: 4/13/2022

Series 24

Date: 9/7/2017

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER ADVISORY GROUP, LLC

TRUST BUT VERIFY

Similar Advisors