Kevin P. Catineau

EMPOWER ADVISORY GROUP

Jamaica Plain, MA

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CRD#: 2593607

Professional summary

Kevin Paul Catineau is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Jamaica Plain, Massachusetts and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Kevin has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

NAME: Woodland Golf Club INV REL: N ADD: 1897 Washington St, Auburndale, MA 02466 NATURE: Golf course POSITION: Greens Crew START DATE: 05/2018 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: I work on weekend morning - cutting greens, ETC

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Paul Catineau's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

October 13, 2021 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Jamaica Plain, MA

Current

January 4, 2021 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

Greenwood Village, CO

Past

January 15, 2020 - January 4, 2021

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

July 13, 2018 - December 24, 2019

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

BOSTON, MA

Past

June 29, 2018 - December 24, 2019

CITIZENS SECURITIES, INC.

CRD#: 39550

BOSTON, MA

Past

January 2, 2013 - July 1, 2016

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

October 1, 2008 - January 2, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

CRD#: 37819

BOSTON, MA

Past

August 24, 2006 - September 15, 2008

BOFA DISTRIBUTORS, INC.

CRD#: 30683

BOSTON, MA

Past

February 22, 2005 - August 21, 2006

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

DULUTH, GA

Past

February 16, 2004 - March 8, 2005

FSC SECURITIES CORPORATION

CRD#: 7461

ATLANTA, GA

Past

February 8, 2002 - August 15, 2003

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

July 6, 1999 - March 1, 2001

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

CRD#: 28262

BOSTON, MA

Past

June 22, 1998 - June 15, 1999

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, NY

Past

May 3, 1995 - August 14, 1997

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

CRD#: 7325

BOSTON, MA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(1/4/2021)

IAR

Massachusetts
(10/13/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/12/2018

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/5/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/23/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/2/1995

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/23/2009

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC

CRD#: 112058 / SEC#: 801-58105

RIA

Registered Investment Advisory firm - (11/22/2000 Approved)

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Contact information

Main Address

8515 East Orchard Rd 4t2, Greenwood Village, CO 80111

Mailing Address

Phone number

(866) 575-4977

Established

Firm type

Fiscal year end

# of Employees

822

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)

EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)

EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)

EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)

EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

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	Cover Page	Report
11/21/2023	Cover Page	Report

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.

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Kevin P. Catineau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Paul Catineau's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

MML DISTRIBUTORS, LLC

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

MML DISTRIBUTORS, LLC

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BOFA DISTRIBUTORS, INC.

VOYA FINANCIAL ADVISORS, INC.

FSC SECURITIES CORPORATION

HIMCO DISTRIBUTION SERVICES COMPANY

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

DEAM INVESTOR SERVICES, INC.

PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/12/2018

Series 63

Date: 10/5/1995

SIE

Date: 10/1/2018

Series 7

Date: 8/23/1999

Series 6

Date: 5/2/1995

Series 26

Date: 1/23/2009

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER ADVISORY GROUP, LLC

TRUST BUT VERIFY

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