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Stephanie Secor

Chief Compliance Officer at Empower Advisory Group

Investment adviser and broker registrationsSan Diego, CASEC record checked 17 October 2026

31
Years in the industry
1
Years at the firm
4
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Stephanie Secor is Chief Compliance Officer of Empower Advisory Group, LLC, a Greenwood Village investment adviser managing $195B. Stephanie Secor has been registered through Empower Advisory Group since 29 September 2025, has 31 years in the industry across 4 firms and has passed 8 licensing exams.

Role at Empower Advisory Group

Title on Schedule A
Chief Compliance Officer
Control
Stephanie Secor is a control person of Empower Advisory Group.
Ownership
An individual ownership band is not available in the source record.
Tenure
Stephanie Secor has held the filed role since May 2025.

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

Stephanie Secor has been registered through Empower Advisory Group since September 2025, and before that through Citigroup Global Markets Inc., Citicorp Investment Services and Linsco/private Ledger Corp..

Firms and exams, newest first
  1. Empower Advisory Group, LLCCurrent
    – present · 1 year
    San Diego, CA · Adviser representative · Firm CRD 112058
  2. Passed SIE · 2017
  3. Passed Series 9 · 2010
  4. Passed Series 10 · 2008
  5. Citigroup Global Markets Inc.
    – · 10 years
    Costa Mesa, CA · Adviser representative · Firm CRD 7059
  6. Citicorp Investment Services
    – · 2 years
    Costa Mesa, CA · Adviser representative · Firm CRD 23988
  7. Linsco/private Ledger Corp.
    – · 2 years
    San Diego, CA · Adviser representative · Firm CRD 6413
  8. Passed Series 66 · 2003
  9. Passed Series 27 · 1990
  10. Passed Series 24 · 1987
  11. Passed Series 7 and Series 63 · 1986

Registrations and exams

Stephanie Secor has a current investment-adviser registration in Texas and has passed 8 qualifying exams.

Texas29 September 2025
Scope
Investment adviser representative
Status
Approved

Examinations

Series 663 September 2003
Name
Uniform Combined State Law Examination
Series 6322 July 1986
Name
Uniform Securities Agent State Law Examination
Series 922 February 2010
Name
General Securities Sales Supervisor - Options Module Examination
Series 107 October 2008
Name
General Securities Sales Supervisor - General Module Examination
Series 2721 June 1990
Name
Financial and Operations Principal Examination
Series 244 June 1987
Name
General Securities Principal Examination
SIE10 February 2017
Name
Securities Industry Essentials Examination
Series 718 January 1986
Name
General Securities Representative Examination

Individual record

Full name
Stephanie Anne Secor
CRD
1454139
Firm
Empower Advisory Group, LLC
Registration status
Investment adviser and broker registrations
Office
San Diego, CA

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 Stephanie Secor work?

Stephanie Secor has been Chief Compliance Officer of Empower Advisory Group, LLC since May 2025, and is a control person of the firm.

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

Is Stephanie Secor a financial advisor?

Yes. Stephanie Secor has a current investment-adviser registration in Texas, through Empower Advisory Group since September 2025, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Stephanie Secor have?

Stephanie Secor has worked in the financial industry for 31 years as of 17 October 2026, counted from 25 January 1995, across 4 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Stephanie Secor passed?

Stephanie Secor has passed 8 licensing exams: the Series 7, Series 63, Series 24, Series 27, Series 66, Series 10, Series 9 and SIE. The earliest, the Series 7, was passed in January 1986.

Source: IAPD individual record, checked 17 October 2026

Where did Stephanie Secor work before Empower Advisory Group?

Before Empower Advisory Group, Stephanie Secor was registered through Citigroup Global Markets Inc., May 2007 to February 2017; Citicorp Investment Services, August 2005 to May 2007; Linsco/private Ledger Corp., September 2003 to August 2005.

Source: IAPD individual record, checked 17 October 2026

Where is Stephanie Secor based?

Stephanie Secor’s registered office is in San Diego, CA.

Source: IAPD individual record, checked 17 October 2026

Leadership at Empower Advisory Group

  • Richard Linton
    President and CEO of Eag, Manager
  • 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
  • Joseph Smolen
    Manager
  • Carol Waddell
    Manager

Sources

  1. IAPD individual record, CRD 1454139. 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 Stephanie Secor 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.