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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)30 years in industry

KRIS ERIC TOWER

Advisor at NOVEM GROUP

Denver, CO | DENVER, CO | ROCHESTER, NY

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 6:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Mar 21, 2003 to Sep 15, 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: NOVEM GROUP
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 2, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 2
Registered states: 15
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Aug 2, 1996
First registration: Mar 21, 2003
Dual registered: yes, broker-dealer
IAPD individual key: 2765979

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
OSAIC WEALTH, INC.	Bd affiliated wealth	Oct 11, 2024	n/a	yes	DENVER, CO	Current employment
NOVEM GROUP	Independent wealth	Jan 15, 2015	n/a	yes	Denver, CO\|ROCHESTER, NY	Current employment
AMERICAN PORTFOLIOS ADVISORS, INC	Former SEC adviser	Feb 16, 2006	Oct 11, 2024	no	HOLBROOK, NY	Previous registration
NORTHEAST ASSET MANAGEMENT LLC	Former SEC adviser	Apr 23, 2004	Feb 16, 2006	no	DENVER, CO	Previous registration
LLOYD, SCOTT & VALENTI, LTD.	n/a	Nov 25, 2003	Jan 22, 2004	no	DENVER, CO	Previous registration
CHOREO, LLC	Independent wealth	Mar 21, 2003	May 13, 2003	no	DENVER, CO	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
AMERICAN PORTFOLIOS ADVISORS, INC	NOVEM GROUP	Oct 11, 2024	Jan 15, 2015	-3,557	Firm change after gap	Other
NORTHEAST ASSET MANAGEMENT LLC	AMERICAN PORTFOLIOS ADVISORS, INC	Feb 16, 2006	Feb 16, 2006	0	Firm change	Other
LLOYD, SCOTT & VALENTI, LTD.	NORTHEAST ASSET MANAGEMENT LLC	Jan 22, 2004	Apr 23, 2004	92	Firm change	Other
CHOREO, LLC	LLOYD, SCOTT & VALENTI, LTD.	May 13, 2003	Nov 25, 2003	196	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
112697:158964:NY:2024-10-11	Oct 11, 2024	Jan 15, 2015	HOLBROOK, NY	Firm change after gap

Relationships

Registered with (6)

→ OSAIC WEALTH, INC.Registered adviserregistration: current employment
Oct 11, 2024 to presentfactForm ADV
→ NOVEM GROUPRegistered adviserregistration: current employment
Jan 15, 2015 to presentfactForm ADV
→ AMERICAN PORTFOLIOS ADVISORS, INCRegistered adviserregistration: previous registration
Feb 16, 2006 to Oct 11, 2024factForm ADV
→ NORTHEAST ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Apr 23, 2004 to Feb 16, 2006factForm ADV
→ LLOYD, SCOTT & VALENTI, LTD.Registered adviserregistration: previous registration
Nov 25, 2003 to Jan 22, 2004factForm ADV
→ CHOREO, LLCRegistered adviserregistration: previous registration
Mar 21, 2003 to May 13, 2003factForm ADV

Dated events

Occurred
Oct 11, 2024
Advisor changed firm
Kris Eric Tower left American Portfolios Advisors, Inc for Novem Group (registered 2015-01-15)
Form ADVobserved 6 days ago