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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

Stephen Ward

Advisor at EMPOWER ADVISORY GROUP, LLC

GREENWOOD VILLAGE, CO | Bronxville, NY

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Search this name across graphsid dfx:ria:20dbfda0-3098-3c7f-1ffa-78eb9073fe04

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 18, 2026, 11:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 4, 2011 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EMPOWER ADVISORY GROUP, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 14, 2008earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63|S66
First exam: Mar 14, 2008
First registration: Mar 4, 2011
Dual registered: yes, broker-dealer
Other names: STEPHEN WARD|STEPHEN CHARLES WARD
IAPD individual key: 5464778

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EMPOWER ADVISORY GROUP, LLC	Bd affiliated wealth	May 28, 2025	n/a	yes	GREENWOOD VILLAGE, CO\|Bronxville, NY	Current employment
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Jun 6, 2013	Jan 9, 2014	no	STAMFORD, CT	Previous registration
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	No RAUM reported	Mar 14, 2012	Feb 20, 2013	no	NEW YORK, NY	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	Mar 4, 2011	Jan 25, 2012	no	NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MML INVESTORS SERVICES, LLC	EMPOWER ADVISORY GROUP, LLC	Jan 9, 2014	May 28, 2025	4,157	Firm change after gap	Other
NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	MML INVESTORS SERVICES, LLC	Feb 20, 2013	Jun 6, 2013	106	Firm change	Other
EQUITABLE ADVISORS, LLC	NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLC	Jan 25, 2012	Mar 14, 2012	49	Firm change	Other

Relationships

Registered with (4)

→ EMPOWER ADVISORY GROUP, LLCRegistered adviserregistration: current employment
May 28, 2025 to presentfactForm ADV
→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Jun 6, 2013 to Jan 9, 2014factForm ADV
→ NORTHWESTERN MUTUAL INVESTMENT SERVICES,LLCRegistered adviserregistration: previous registration
Mar 14, 2012 to Feb 20, 2013factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 4, 2011 to Jan 25, 2012factForm ADV

Dated events

No dated event names this entity yet.