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David Romero

Empower Advisory Group, LLC

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About David Romero

David Romero is an investment advisor representative with Empower Advisory Group, LLC. David has been in the securities industry since May 2002. David is licensed in 52 states. David previously worked with Transamerica Capital, Inc., PFS Investments Inc., Chase Investment Services Corp., and TIAA-CREF Individual & Institutional Services, LLC. David has experience in providing financial planning and portfolio management for individuals and businesses.

Firm Information

David Romero is currently registered with Empower Advisory Group, LLC. Empower Advisory Group, LLC is a financial advisory firm based in Greenwood Village, CO, providing financial planning, portfolio management for individuals, and educational seminars. They manage over $134 billion in assets for a diverse clientele including individuals, high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and state or municipal government entities. The firm has over 700 investment advisor representatives and is registered with the SEC under number 801-58105.
Empower Advisory Group, LLC

8515 EAST ORCHARD RD 4T2

GREENWOOD VILLAGE, CO 80111

$134.28B

Assets Under Management

18

Total Clients

1,128

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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David Romero’s Registration & Firm History

CO

03/31/2021 - Present

Empower Advisory Group, LLC (GREENWOOD VILLAGE CO)

CO

12/16/2013 - 10/14/2020

TRANSAMERICA CAPITAL, INC. (DENVER CO)

CO

05/13/2011 - 12/31/2011

PFS INVESTMENTS INC. (LITTLETON CO)

CO

11/14/2008 - 10/30/2009

CHASE INVESTMENT SERVICES CORP. (LITTLETON CO)

CO

04/02/1998 - 08/13/2008

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (DENVER CO)

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Licenses & Designations

BOTH

Issued 03/30/2021

Series 66 - Uniform Combined State Law Examination

IA

Issued 11/24/2008

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/20/1997

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/14/2004

Series 7 - General Securities Representative Examination

BC

Issued 11/22/1997

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for David Romero.
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