Cory Sprott Cox

EMPOWER ADVISORY GROUP

Renton, WA

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CRD#: 7053024

Professional summary

Cory Sprott Cox, who also goes by Cory Jeannette Sprott, Cory Sprott, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Renton, Washington and EMPOWER FINANCIAL SERVICES, INC. located in Boston, Massachusetts.

Cory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Cory has worked at 4 firms and has passed the Series 66, Series 6TO, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Cory Jeannette Sprott | Cory Sprott

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.

1] I*128596.For profit or not for profit: For-Profit Organization; Name of outside business organization: Dirty T Real Estate Investment related: N; Address of business: Tucson, Arizona 85712; Nature of business: LLC; Position, title, association: Owner, Start date of relationship: 9/1/2018; Number of hours devoted: 5 hour(s) Monthly; Number of hours devoted during trading hours: 5; Duties: I rent out rooms in my home using Airbnb. 2] Tucson Fitness & Lifestyle Coaching; Co-owner with spouse. Social media and networking marketing. 3] Olive & Ivory / Owner. Event Planning, Design & Production for weddings in the Tucson area.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory Sprott Cox's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 14, 2021 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Renton, WA

Current

June 10, 2021 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 100 Federal St 18th Floor, Boston, MA 02110

CRD#: 13109

Boston, MA

Past

January 14, 2020 - May 24, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TUCSON, AZ

Past

January 14, 2020 - May 24, 2021

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TUCSON, AZ

Past

April 3, 2019 - November 15, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

TUCSON, AZ

Past

March 11, 2019 - November 15, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

TUCSON, AZ

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".

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.

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

Arizona
(6/14/2021)

California
(6/10/2021)

Nevada
(6/10/2021)

New Mexico
(6/10/2021)

Utah
(7/19/2021)

Washington
(10/29/2025)

IAR

Washington
(10/29/2025)

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

State Security Law Exam

IAR

Series 66

Date: 3/30/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/2/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7TO

Date: 3/11/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/15/2019

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

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)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)

EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)

EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)

EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

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	Cover Page	Report
11/21/2023	Cover Page	Report

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.

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Cory Sprott Cox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Cory Sprott Cox's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/30/2019

Series 6TO

Date: 1/2/2023

Series 7TO

Date: 3/11/2019

SIE

Date: 2/15/2019

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER ADVISORY GROUP, LLC

TRUST BUT VERIFY

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