SE
Spencer M. Eaton
EMPOWER ADVISORY GROUP
Fort Myers, FL
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CRD#: 7808457
SE
Professional summary
Spencer Michael Eaton is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Fort Myers, Florida and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Spencer is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Spencer has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Florida Financial Advisors. Investment Related. Jacksonville, FL 32202. Nature of Business: RIA. Position: Financial Consultant. Start Date: 08/2023. Hours per Month: 160. Hours per Month During Trading Hours: 160. Investment-Related Activities. Florida Financial Insurance. Not Investment Related. Jacksonville, FL 32202. Nature of Business: Fixed Insurance Sales. Start Date: 08/2023. Hours per Month: 10 hours during trading. Duties: Fixed insurance sales HighTide SurfClub LLC. Not Investment Related. Jacksonville, FL 32223. Nature of Business: Clothing Brand and Clothing Distribution. Start Date: 01/2022. Hours per Month: 20. Hours per Month During Trading Hours: 5. Duties: Owner/Member
CRS (Client Relationship Summary) - RIA
Click below to view Spencer Michael Eaton'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
November 22, 2024 - Present
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
Fort Myers, FL
Current
October 3, 2024 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
September 21, 2023 - February 26, 2024
FLORIDA FINANCIAL ADVISORS, LLC
RIA
CRD#: 288811
Jacksonville, FL
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(10/9/2024)
RR
Alaska(10/9/2024)
RR
Arizona(10/9/2024)
RR
Arkansas(10/9/2024)
RR
California(10/9/2024)
RR
Connecticut(10/9/2024)
RR
Delaware(10/9/2024)
RR
Florida(10/9/2024)
IAR
Florida(11/22/2024)
RR
Georgia(10/9/2024)
RR
Hawaii(10/9/2024)
RR
Idaho(10/9/2024)
RR
Illinois(10/9/2024)
RR
Indiana(10/9/2024)
RR
Iowa(10/9/2024)
RR
Kansas(10/9/2024)
RR
Kentucky(10/9/2024)
RR
Maine(10/9/2024)
RR
Massachusetts(10/9/2024)
RR
Michigan(10/9/2024)
RR
Minnesota(10/9/2024)
RR
Mississippi(10/9/2024)
RR
Missouri(10/9/2024)
RR
Montana(10/9/2024)
RR
Nebraska(10/9/2024)
RR
Nevada(10/9/2024)
RR
New Hampshire(10/9/2024)
RR
New Jersey(10/9/2024)
RR
New Mexico(10/9/2024)
RR
New York(10/9/2024)
RR
North Carolina(10/9/2024)
RR
North Dakota(10/9/2024)
RR
Oklahoma(10/9/2024)
RR
Oregon(10/9/2024)
RR
Pennsylvania(10/9/2024)
RR
Rhode Island(10/9/2024)
RR
South Carolina(10/9/2024)
RR
South Dakota(10/9/2024)
RR
Tennessee(10/9/2024)
RR
Texas(10/9/2024)
RR
Utah(10/9/2024)
RR
Vermont(10/9/2024)
RR
Virginia(10/9/2024)
RR
Washington(10/9/2024)
RR
West Virginia(10/9/2024)
RR
Wisconsin(10/9/2024)
RR
Wyoming(10/9/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/3/2024
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
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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
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.
