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Carol Waddell

Manager at Empower Advisory Group

Broker registration; no current adviser registration

Carol Waddell is Manager of Empower Advisory Group, LLC, a Greenwood Village investment adviser managing $195B. Carol Waddell has a current broker registration and no current investment-adviser registration and has passed the Series 6, Series 7, Series 24 and Series 99TO.

4
Licensing exams

From the IAPD record · data retrieved 18 October 2026 · page updated 20 October 2026SEC record

Career

Carol Waddell has been Manager of Empower Advisory Group since February 2015. Carol Waddell is a control person of the firm and directly owns under 5% of it.

Empower Advisory Group, LLC is a Greenwood Village, CO firm with $195B under management, 297,074 clients and 6,138 advisers across 1,235 offices, as of its July 2026 filing.

Empower announced Carol Waddell’s appointment to lead Individual Investors and noted her prior roles at JPMorgan Retirement Plan Services, T. Rowe Price and Citibank.

No adviser firm registrations are on Carol Waddell’s record.

Credentials and registrations

Examinations

Series 99TO2 January 2023
Name
Operations Professional Examination
SIECredited
Name
Securities Industry Essentials Examination
Series 246 October 2015
Name
General Securities Principal Examination
Series 718 May 2015
Name
General Securities Representative Examination
Series 67 March 2008
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Carol Elaine Waddell
CRD
4867556
Firm bio
empower.com

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does Carol Waddell work?

Carol Waddell has been Manager of Empower Advisory Group, LLC since February 2015, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 9 July 2026

Does Carol Waddell have a current investment-adviser registration?

Carol Waddell has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 18 October 2026

What exams has Carol Waddell passed?

Carol Waddell has passed 4 licensing exams: the Series 6, Series 7, Series 24 and Series 99TO. The earliest, the Series 6, was passed in March 2008. FINRA credited Carol Waddell with the SIE, which began in October 2018.

Source: IAPD individual record, checked 18 October 2026

Leadership at Empower Advisory Group

Sources

  1. IAPD individual record, CRD 4867556. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Empower Advisory Group, LLC, filed 9 July 2026. Title, control and ownership bands.
  3. Empower Advisory Group team page. Biography, education, credentials, awards.

Retrieved 18 October 2026. The SEC record may have been amended since.

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