AT
Ashley K. Ting
EMPOWER ADVISORY GROUP
LA PUENTE, CA
Some features on this profile are disabled
CRD#: 7231465
AT
Professional summary
Ashley Katie Ting, who also goes by Ashley Katie Ting, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in La Puente, California and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Ashley has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ashley Katie Ting
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.
INSURANCE Is Not Investment Related, Fixed Insurance and Annuity Business, Agent, 2021-06-22, 10 hours per month,5 hours per month during trading hours, Commission Compensation, "When appropriate based on client's priorities and situation, the sale of Fixed Life insurance and fixed annuity products including: Term Life, UL, Whole Life, Indexed Universal Life, Fixed Annuities, Fixed Indexed Annuities and MYGAs" LA PENSION PLANNERS POSITION: Financial Professional NATURE: Financial Services INVESTMENT RELATED: Is Investment Related, START DATE: 2021-06-09, HOURS PER month: 160 hours per month, SECURITIES TRADING HOURS: 160 hours per month during trading hours, COMPENSATION: Commission Compensation DESCRIPTION: DBA related to Financial Services
CRS (Client Relationship Summary) - RIA
Click below to view Ashley Katie Ting's 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®
NoneExperience
Current
May 8, 2024 - Present
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
LA PUENTE, CA
Current
May 8, 2024 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
June 21, 2021 - April 30, 2024
GWN SECURITIES INC.
RIA
CRD#: 128929
PASADENA, CA
Past
June 21, 2021 - April 30, 2024
GWN SECURITIES INC.
BD
CRD#: 128929
PASADENA, CA
Past
May 12, 2020 - June 23, 2021
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LOS ANGELES, CA
Past
March 11, 2020 - June 23, 2021
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LOS ANGELES, CA
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".
EA
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.RR
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
RR
Alabama(5/8/2024)
RR
Alaska(5/8/2024)
RR
Arizona(5/8/2024)
RR
Arkansas(5/8/2024)
RR
California(5/8/2024)
IAR
California(5/8/2024)
RR
Connecticut(5/8/2024)
RR
Delaware(5/8/2024)
RR
Georgia(5/8/2024)
RR
Hawaii(5/8/2024)
RR
Idaho(5/8/2024)
RR
Illinois(5/8/2024)
RR
Indiana(5/8/2024)
RR
Iowa(5/8/2024)
RR
Kansas(5/8/2024)
RR
Kentucky(5/8/2024)
RR
Maine(5/8/2024)
RR
Massachusetts(5/8/2024)
RR
Michigan(5/8/2024)
RR
Minnesota(5/8/2024)
RR
Mississippi(5/8/2024)
RR
Missouri(5/8/2024)
RR
Montana(5/8/2024)
RR
Nebraska(5/8/2024)
RR
Nevada(5/8/2024)
RR
New Hampshire(5/8/2024)
RR
New Jersey(5/8/2024)
RR
New Mexico(5/8/2024)
RR
New York(5/8/2024)
RR
North Carolina(5/8/2024)
RR
North Dakota(5/8/2024)
RR
Oklahoma(5/8/2024)
RR
Oregon(5/8/2024)
RR
Pennsylvania(5/8/2024)
RR
Rhode Island(5/8/2024)
RR
South Carolina(5/8/2024)
RR
South Dakota(5/8/2024)
RR
Tennessee(5/8/2024)
RR
Texas(5/8/2024)
RR
Utah(5/8/2024)
RR
Vermont(5/8/2024)
RR
Virginia(5/8/2024)
RR
Washington(5/8/2024)
RR
West Virginia(5/8/2024)
RR
Wisconsin(5/8/2024)
RR
Wyoming(5/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/11/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
EA
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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
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.
