James P. Ek
Professional summary
James Parker Ek is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Woburn, Massachusetts and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. James has worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Parker Ek's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 15, 2020 - Present
EMPOWER ADVISORY GROUP, LLC
September 11, 2020 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111January 3, 2020 - September 3, 2020
CITIZENS SECURITIES, INC.
November 5, 2019 - December 31, 2019
CITIZENS SECURITIES, INC.
August 27, 2019 - September 3, 2020
CITIZENS SECURITIES, INC.
April 17, 2018 - June 10, 2019
NATIXIS DISTRIBUTION, LLC
February 19, 2016 - April 18, 2018
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
(9/14/2020)
(9/16/2020)
(9/22/2020)
(9/14/2020)
(9/11/2020)
(9/15/2020)
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(10/5/2020)
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(9/21/2020)
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(9/14/2020)
(9/11/2020)
(9/13/2020)
(9/15/2020)
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(9/16/2020)
(9/15/2020)
(9/14/2020)
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(9/21/2020)
(9/18/2020)
(9/14/2020)
(9/18/2020)
(9/14/2020)
(9/14/2020)
(9/14/2020)
(9/15/2020)
(9/14/2020)
(9/14/2020)
(9/15/2020)
(9/14/2020)
(9/22/2020)
(9/16/2020)
(9/14/2020)
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(9/14/2020)
(9/17/2020)
(9/11/2020)
(9/14/2020)
Exams
Series 7TO
Date: 5/2/2019
General Securities 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
