Susan L. Oman
Professional summary
Susan Lynn Oman, who also goes by Susan Lynn Dockus, Susan Lynn Oman, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Westfield, Indiana and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Susan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Susan has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Susan Lynn Oman's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 5, 2023 - Present
EMPOWER ADVISORY GROUP, LLC
July 5, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111September 19, 2018 - May 2, 2023
CAPITAL CLIENT GROUP, INC.
May 25, 2018 - May 2, 2023
CAPITAL CLIENT GROUP, 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
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Exams
Series 7TO
Date: 10/12/2020
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.
