Lu A. Hartley

EMPOWER ADVISORY GROUP

Denver, CO

CRD#: 7826790

Some features on this profile are disabled

Professional summary

Lu Ann Hartley, who also goes by Luann Ann Hartley, Luann Hartley, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Denver, Colorado and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Lu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Lu has worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Luann Ann Hartley | Luann Hartley

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lu Ann Hartley'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 11, 2026 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Denver, CO

Current

June 11, 2026 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

October 29, 2025 - February 6, 2026

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Lone Tree, CO

Past

October 29, 2025 - February 6, 2026

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Lone Tree, CO

Past

April 22, 2024 - July 3, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

RIA

CRD#: 20472

DENVER, CO

Past

April 22, 2024 - July 3, 2025

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

DENVER, CO

Past

January 22, 2024 - March 6, 2024

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

ENGLEWOOD, CO

Past

November 9, 2023 - March 6, 2024

EQUITABLE ADVISORS, LLC

CRD#: 6627

ENGLEWOOD, CO

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

Alabama
(6/11/2026)

Alaska
(6/11/2026)

Arizona
(6/11/2026)

Arkansas
(6/11/2026)

California
(6/11/2026)

Colorado
(6/11/2026)

IAR

Colorado
(6/11/2026)

Connecticut
(6/11/2026)

Delaware
(6/11/2026)

Georgia
(6/11/2026)

Hawaii
(6/11/2026)

Idaho
(6/11/2026)

Illinois
(6/11/2026)

Indiana
(6/11/2026)

Iowa
(6/11/2026)

Kansas
(6/11/2026)

Kentucky
(6/11/2026)

Maine
(6/11/2026)

Massachusetts
(6/11/2026)

Michigan
(6/11/2026)

Minnesota
(6/11/2026)

Mississippi
(6/11/2026)

Missouri
(6/11/2026)

Montana
(6/11/2026)

Nebraska
(6/11/2026)

Nevada
(6/11/2026)

New Hampshire
(6/11/2026)

New Jersey
(6/11/2026)

New Mexico
(6/11/2026)

New York
(6/11/2026)

North Carolina
(6/11/2026)

North Dakota
(6/11/2026)

Ohio
(6/11/2026)

Oklahoma
(6/11/2026)

Oregon
(6/11/2026)

Pennsylvania
(6/11/2026)

Rhode Island
(6/11/2026)

South Carolina
(6/11/2026)

South Dakota
(6/11/2026)

Tennessee
(6/11/2026)

Texas
(6/11/2026)

Utah
(6/11/2026)

Vermont
(6/11/2026)

Virginia
(6/11/2026)

Washington
(6/11/2026)

West Virginia
(6/11/2026)

Wisconsin
(6/11/2026)

Wyoming
(6/11/2026)

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: 1/18/2024

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 11/9/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/21/2023

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 6/21/2025

General Securities Principal 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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

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

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
02/26/2026	Cover Page	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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Lu A. Hartley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lu Ann Hartley's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/18/2024

Series 7TO

Date: 11/9/2023

SIE

Date: 8/21/2023

Series 24

Date: 6/21/2025

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

Similar Advisors