RB
Raymond K. Brock
EMPOWER ADVISORY GROUP
GREENWOOD VILLAGE, CO 80111
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CRD#: 6763569
RB
Professional summary
Raymond Kip Brock, who also goes by Raymond Kip Brock, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Greenwood Village, Colorado and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Raymond is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Raymond has worked at 4 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Raymond Kip Brock
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Raymond Kip Brock's 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®
NoneExperience
Current
April 3, 2023 - Present
EMPOWER ADVISORY GROUP, LLC
Office #1: 8515 East Orchard Rd 4t2, Greenwood Village, CO 80111RIA
CRD#: 112058
GREENWOOD VILLAGE, CO
Current
November 22, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
February 27, 2023 - April 3, 2023
PERSONAL CAPITAL ADVISORS CORPORATION
RIA
CRD#: 155172
Greenville, SC
Past
September 19, 2017 - November 16, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
GREENVILLE, SC
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".
EA
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.RR
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
RR
Alabama(11/22/2021)
RR
Alaska(11/22/2021)
RR
Arizona(11/22/2021)
RR
Arkansas(11/22/2021)
RR
California(11/22/2021)
RR
Connecticut(11/22/2021)
RR
Delaware(11/22/2021)
RR
Georgia(11/22/2021)
RR
Hawaii(11/22/2021)
RR
Idaho(11/22/2021)
RR
Illinois(11/22/2021)
RR
Indiana(11/22/2021)
RR
Iowa(11/22/2021)
RR
Kansas(11/22/2021)
RR
Kentucky(11/22/2021)
RR
Maine(11/22/2021)
RR
Massachusetts(11/22/2021)
RR
Michigan(11/22/2021)
RR
Minnesota(11/22/2021)
RR
Mississippi(11/22/2021)
RR
Missouri(11/22/2021)
RR
Montana(11/22/2021)
RR
Nebraska(11/22/2021)
RR
Nevada(11/22/2021)
RR
New Hampshire(11/22/2021)
RR
New Jersey(11/22/2021)
RR
New Mexico(11/22/2021)
RR
New York(11/22/2021)
RR
North Carolina(11/22/2021)
RR
North Dakota(11/22/2021)
RR
Oklahoma(11/22/2021)
RR
Oregon(11/22/2021)
RR
Pennsylvania(11/22/2021)
RR
Rhode Island(11/22/2021)
RR
South Carolina(11/22/2021)
IAR
South Carolina(4/3/2023)
RR
South Dakota(11/22/2021)
RR
Tennessee(11/22/2021)
RR
Texas(11/22/2021)
RR
Utah(11/22/2021)
RR
Vermont(11/22/2021)
RR
Virginia(11/22/2021)
RR
Washington(11/22/2021)
RR
West Virginia(11/22/2021)
RR
Wisconsin(11/22/2021)
RR
Wyoming(11/22/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 12/26/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EA
EMPOWER ADVISORY GROUP, LLC
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
RIA
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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
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.
