Nik Frye
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.
Nik Frye, who also goes by Nikolas A Frye, Nikolas Alexandre Frye, Nikolas Frye, Nikolas Alexandre Price, was a registered financial professional .
Nik is a previously registered financial professional and started their career in finance in 2019. Nik had worked at 6 firms and has passed the Series 66, Series 6TO, Series 7TO and SIE exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 16, 2022 - April 23, 2026
EMPOWER ADVISORY GROUP, LLC
June 15, 2022 - April 23, 2026
EMPOWER FINANCIAL SERVICES, INC.
June 3, 2020 - April 22, 2022
STRATEGIC BLUEPRINT, LLC
June 3, 2020 - April 22, 2022
THE STRATEGIC FINANCIAL ALLIANCE, INC.
September 13, 2019 - October 21, 2019
NYLIFE SECURITIES LLC
February 22, 2019 - August 29, 2019
SECURIAN 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
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 7TO
Date: 2/22/2019
General Securities Representative ExaminationCurrent 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 |
|---|---|---|
| 02/26/2026 | ||
| 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.
