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David Gray

Manager at Empower Advisory Group

Broker registration; no current adviser registrationSEC record checked 17 October 2026

3
Past adviser firms
5
Licensing exams

IAPD record retrieved 17 October 2026SEC record

David Gray is Manager of Empower Advisory Group, LLC, a Greenwood Village investment adviser managing $195B. David Gray has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

Role at Empower Advisory Group

Title on Schedule A
Manager
Control
David Gray is a control person of Empower Advisory Group.
Ownership
An individual ownership band is not available in the source record.
Tenure
David Gray has held the filed role since June 2026.

The firm

Empower Advisory Group, LLC
Greenwood Village, CO

Form ADV filed 9 July 2026

$195B AUM297,074 clients6,138 advisers6 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed SIE · 2018
  3. Passed Series 24 · 2011
  4. Charles Schwab & Co., Inc.
    – · 6 years
    Richfield, OH · Adviser representative · Firm CRD 5393
  5. Stancorp Investment Advisers, Inc.
    – · 3 years
    Cleveland, OH · Adviser representative · Firm CRD 110228
  6. Invesmart Advisors Inc
    – · 4 years
    Cleveland, OH · Adviser representative · Firm CRD 108731
  7. Passed Series 7 and Series 66 · 2002

Registrations and exams

Broker registration; no current adviser registration. David Gray has passed 5 qualifying exams.

Examinations

Series 6628 October 2002
Name
Uniform Combined State Law Examination
Series 2420 April 2011
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 716 July 2002
Name
General Securities Representative Examination

Individual record

Full name
David Richard Gray
CRD
4504661
Firm
Empower Advisory Group, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does David Gray work?

David Gray has been Manager of Empower Advisory Group, LLC since June 2026, and is a control person of the firm.

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

Does David Gray have a current investment-adviser registration?

David Gray has a current broker registration and no current investment-adviser registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has David Gray passed?

David Gray has passed 5 licensing exams: the Series 7, Series 66, Series 24, SIE and Series 99TO. The earliest, the Series 7, was passed in July 2002.

Source: IAPD individual record, checked 17 October 2026

Where was David Gray previously registered as an investment adviser?

David Gray has past investment-adviser registrations through Charles Schwab & Co., Inc., July 2010 to May 2016; Stancorp Investment Advisers, Inc., January 2007 to June 2010; Invesmart Advisors Inc, November 2002 to January 2007, across 3 firms.

Source: IAPD individual record, checked 17 October 2026

Leadership at Empower Advisory Group

  • Richard Linton
    President and CEO of Eag, Manager
  • Stephanie Secor
    Chief Compliance Officer
  • Jane Bartosik
    Manager
  • Craig Birk
    Manager
  • Alyssa Galbaugh
    Assistant Secretary
  • William Griesser
    Manager
  • William Jeffries
    Manager and VP Operations
  • Adam Kavan
    Assistant General Counsel
  • Nathaniel Mandeville
    Manager and Treasurer
  • David McLeod
    Manager
  • Palak Patel
    Secretary
  • Frederick Schulitz
    VP, Participant Advisory Services
  • Joseph Smolen
    Manager
  • Carol Waddell
    Manager

Sources

  1. IAPD individual record, CRD 4504661. 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.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with David Gray or Empower Advisory Group, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.