Niva WealthLet’s talk

Joseph Smolen

Manager at Empower Advisory Group

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

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Joseph Smolen is Manager of Empower Advisory Group, LLC, a Greenwood Village investment adviser managing $195B. Joseph Smolen has a current broker registration and no current investment-adviser registration and has passed the Series 6, Series 63, Series 26 and SIE.

Role at Empower Advisory Group

Title on Schedule A
Manager
Control
Joseph Smolen is a control person of Empower Advisory Group.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Smolen 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 SIE · 2018
  2. Passed Series 26 · 2005
  3. Passed Series 6 and Series 63 · 2000

Registrations and exams

Broker registration; no current adviser registration. Joseph Smolen has passed 4 qualifying exams.

Examinations

Series 6324 May 2000
Name
Uniform Securities Agent State Law Examination
Series 2629 October 2005
Name
Investment Company Products/Variable Contracts Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 621 January 2000
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Joseph Michael Smolen
CRD
4100909
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 Joseph Smolen work?

Joseph Smolen 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 Joseph Smolen have a current investment-adviser registration?

Joseph Smolen 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 Joseph Smolen passed?

Joseph Smolen has passed 4 licensing exams: the Series 6, Series 63, Series 26 and SIE. The earliest, the Series 6, was passed in January 2000.

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
  • David Gray
    Manager
  • 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
  • Carol Waddell
    Manager

Sources

  1. IAPD individual record, CRD 4100909. 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 Joseph Smolen 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.