Patrick J. Dillon
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Patrick Joseph Dillon, who also goes by Patrick J Dillon, Patrick Dillon, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1991. Patrick had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 27, 2017 - May 17, 2018
EMPOWER ADVISORY GROUP, LLC
January 2, 2015 - May 17, 2018
EMPOWER FINANCIAL SERVICES, INC.
December 20, 2012 - January 22, 2015
PUTNAM INVESTMENT MANAGEMENT, LLC
October 16, 2012 - January 2, 2015
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
September 9, 2011 - October 9, 2012
VANGUARD MARKETING CORPORATION
October 29, 2010 - September 6, 2011
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
October 31, 2005 - October 31, 2008
PACIFIC SELECT DISTRIBUTORS, LLC
December 6, 1994 - October 27, 2005
MFS FUND DISTRIBUTORS, INC.
October 13, 1994 - December 31, 1994
MFS FINANCIAL SERVICES, INC.
December 2, 1991 - April 2, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
December 2, 1991 - April 2, 1993
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 250,707 |
| AUM (Assets Under Management) | $ 159,120,330,491 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 03/28/2025 | ||
| 11/21/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
