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WC

Wesley D. Clark

Some features on this profile are disabled
CRD#: 7462172
WC

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.

Wesley David Clark was a registered financial professional .

Wesley is a previously registered financial professional and started their career in finance in 2022. Wesley had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
JW REMODELING, LLC; NOT INVESTMENT RELATED; FORT WAYNE, IN; RESIDENTIAL REMODELING AND HANDYMAN SERVICES; CO-OWNER AND HANDYMAN; ACTIVITY BEGAN 06/2021; I DEVOTE APPX 20-40 HOURS PER MONTH ON THIS ACTIVITY WITH NONE OF THOSE HOURS DURING TRADING HOURS; ASSIST IN ALL REMODELS AND ALL RECORDKEEPING FOR THE BUSINESS. COMPASS FINANCIAL ADVISORS; INVESTMENT RELATED; FORT WAYNE, IN; RIA; CLIENT SERVICE REPRESENTATIVE; ACTIVITY BEGAN 10/2021; I DEVOTE APPX 160 HOURS PER MONTH TO THIS ACTIVITY ALL DURING TRADING HOURS; PROVIDE CLIENT SERVICES TO ADVISORS. AUSDAL FINANCIAL PARTNERS INC; INVESTMENT RELATED; DAVENPORT, IOWA; BROKER ; CLIENT SERVICE REP / BROKER; ACTIVITY BEGAN 10/2021; I DEVOTE APPX 160 HOURS PER MONTH TO THIS ACTIVITY ALL DURING TRADING HOURS; PROVIDE CLIENT SERVICES TO ADVISOR / BROKERAGE DUTIES INSURANCE; INVESTMENT RELATED; FORT WAYNE, IN; INSURANCE SALES; AGENT; ACTIVITY BEGAN JULY 2022; I DEVOTE APPX 40 HOURS PER MONTH ALL DURING TRADING HOURS TO THIS ACTIVITY; SALE OF VARIOUS INSURANCE PRODUCTS.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

July 14, 2023 - October 11, 2023

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
Fort Wayne, IN
Past

July 14, 2023 - October 11, 2023

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

March 11, 2022 - June 29, 2023

COMPASS FINANCIAL ADVISORS LLC

RIA
CRD#: 109131
FORT WAYNE, IN
Past

February 1, 2022 - July 3, 2023

AUSDAL FINANCIAL PARTNERS, INC.

BD
CRD#: 7995
Fort Wayne, IN

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/1/2022
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/1/2022
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 7/13/2021
Securities Industry Essentials Examination

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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts250,707
AUM (Assets Under Management)$ 159,120,330,491

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

EMPOWER ADVISORY GROUP, LLC

CRD#: 112058

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