Alan E. Heinze
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.
Alan Eduardo Heinze, who also goes by Alan E Heinze, Alan Heinze, was a registered financial professional .
Alan is a previously registered financial professional and started their career in finance in 2017. Alan had worked at 7 firms and has passed the Series 66, 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
May 26, 2022 - March 17, 2023
EMPOWER ADVISORY GROUP, LLC
May 25, 2022 - March 17, 2023
EMPOWER FINANCIAL SERVICES, INC.
January 14, 2021 - July 9, 2021
VICTORY CAPITAL MANAGEMENT INC.
January 14, 2021 - July 9, 2021
VICTORY CAPITAL SERVICES, INC.
October 14, 2019 - January 25, 2021
THE BROUGHTON INVESTMENT GROUP, INC.
December 11, 2018 - January 25, 2019
J.P. MORGAN SECURITIES LLC
December 11, 2018 - January 25, 2019
J.P. MORGAN SECURITIES LLC
November 8, 2017 - August 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 22, 2017 - August 17, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
