Mauricio A. Vaca
Professional summary
Mauricio Alejandro Vaca, CFP®, who also goes by Mauricio Vaca, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Denver, Colorado and EMPOWER FINANCIAL SERVICES, INC. located in Denver, Colorado.
Mauricio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Mauricio has worked at 3 firms and has passed the Series 65, Series 7TO, SIE, Series 3, Series 24 and Series 30 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Mauricio Alejandro Vaca's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 3, 2023 - Present
EMPOWER ADVISORY GROUP, LLC
July 26, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
February 17, 2017 - April 3, 2023
PERSONAL CAPITAL ADVISORS CORPORATION
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.
Highlighted states indicate IAR registrations
(4/3/2023)
Exams
Series 7TO
Date: 7/26/2023
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
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