MD
Melissa Diaz
EMPOWER ADVISORY GROUP
Fullerton, CA
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CRD#: 7825319
MD
Professional summary
Melissa Diaz is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Fullerton, California and EMPOWER FINANCIAL SERVICES, INC. located in Grafton, Massachusetts.
Melissa is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Melissa has worked at 3 firms and has passed the Series 66, 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.
Cali Bev Co. / Owner. Mobile bartending service tht includes serving alcoholic or non-alcoholic beverages at private events. This role includes booking events, quoting customers, going onsite and setting up, bartending for 2-6 hours per event and logging inventory. 20 hours per month; 0 hours per month during normal business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Melissa Diaz'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
January 14, 2025 - Present
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
Fullerton, CA
Current
January 14, 2025 - Present
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
Grafton, MA
Past
March 5, 2024 - December 12, 2024
EDWARD JONES
RIA
CRD#: 250
NORTH TUSTIN, CA
Past
December 5, 2023 - December 12, 2024
EDWARD JONES
BD
CRD#: 250
NORTH TUSTIN, 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(1/14/2025)
RR
Alaska(1/14/2025)
RR
Arizona(1/14/2025)
RR
Arkansas(1/14/2025)
RR
California(1/14/2025)
IAR
California(1/14/2025)
RR
Connecticut(1/14/2025)
RR
Delaware(1/14/2025)
RR
Georgia(1/14/2025)
RR
Hawaii(1/14/2025)
RR
Idaho(1/14/2025)
RR
Illinois(1/14/2025)
RR
Indiana(1/14/2025)
RR
Iowa(1/14/2025)
RR
Kansas(1/14/2025)
RR
Kentucky(1/14/2025)
RR
Maine(1/14/2025)
RR
Massachusetts(1/14/2025)
RR
Michigan(1/14/2025)
RR
Minnesota(1/14/2025)
RR
Mississippi(1/14/2025)
RR
Missouri(1/14/2025)
RR
Montana(1/14/2025)
RR
Nebraska(1/14/2025)
RR
Nevada(1/14/2025)
RR
New Hampshire(1/14/2025)
RR
New Jersey(1/14/2025)
RR
New Mexico(1/14/2025)
RR
New York(1/14/2025)
RR
North Carolina(1/14/2025)
RR
North Dakota(1/14/2025)
RR
Oklahoma(1/14/2025)
RR
Oregon(1/14/2025)
RR
Pennsylvania(1/14/2025)
RR
Rhode Island(1/14/2025)
RR
South Carolina(1/14/2025)
RR
South Dakota(1/14/2025)
RR
Tennessee(1/14/2025)
RR
Texas(1/14/2025)
RR
Utah(1/14/2025)
RR
Vermont(1/14/2025)
RR
Virginia(1/14/2025)
RR
Washington(1/14/2025)
RR
West Virginia(1/14/2025)
RR
Wisconsin(1/14/2025)
RR
Wyoming(1/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 12/5/2023
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.
