James Dario Garner
Professional Summary
James Dario Garner, who also goes by James Garner, James D Garner, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Phoenix, Arizona and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. James has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
James Dario Garner, James Garner, James D Garner
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Disclosures on record.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
5 years registered in the securities industry
Current & Past Employments
Current
Past
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
Contact Information
Main Address
8515 East Orchard Rd 4t2, Greenwood Village, CO 80111Phone Number
(866) 575-4977# of Employees
8,051SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Regulatory Assets Under Management
Total Number of Accounts
297,074AUM (Assets Under Management)
$195,426,321,479Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2026 | Cover Page | Report |
| 02/26/2026 | Cover Page | Report |
| 03/28/2025 | Cover Page | Report |
| 11/21/2023 | Cover Page | Report |
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
Primary Firm SEC Registration
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
State Registrations and Notice Filings
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
(4/8/2024)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary) - RIA
Click below to view James Dario Garner's CRS (Customer Relationship Summary).
Similar Advisors
LPL FINANCIAL LLC
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
SOLTIS INVESTMENT ADVISORS, LLC