Vincent D. Matthews

EMPOWER ADVISORY GROUP

Mobile, AL

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CRD#: 2622756

Professional summary

Vincent De Paul Matthews, who also goes by VIncent De Paul Matthews, Vincent P Matthews, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Mobile, Alabama and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Vincent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Vincent has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Vincent De Paul Matthews | Vincent P Matthews

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 of Outside Business:None; Investment Related:No; Address of Outside Business:mobile,al; Nature of Outside Business:Rental Property; Position:Owner; Start Date:1/1/2011; Hours per month: 0-10; Hours per month during securities trading hours: No; Description of Duties: Owner of rental property. I have a property management company that manages the property for me.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent De Paul Matthews'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

December 3, 2024 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Mobile, AL

Current

December 3, 2024 - Present

EMPOWER FINANCIAL SERVICES, INC.

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

CRD#: 13109

Greenwood Village, CO

Past

August 25, 2023 - November 25, 2024

HUB INVESTMENT PARTNERS, LLC

RIA

CRD#: 307956

Mobile, AL

Past

September 9, 2022 - August 16, 2023

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

August 10, 2022 - August 12, 2022

CETERA INVESTMENT ADVISERS LLC

RIA

CRD#: 105644

MOBILE, AL

Past

August 10, 2022 - August 12, 2022

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

MOBILE, AL

Past

June 23, 2020 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

RIA

CRD#: 40637

MOBILE, AL

Past

June 23, 2020 - August 10, 2022

HANCOCK WHITNEY INVESTMENT SERVICES INC.

CRD#: 40637

MOBILE, AL

Past

January 6, 2020 - February 10, 2020

L&L FINANCIAL SERVICES, LLP

RIA

CRD#: 116243

MOBILE, AL

Past

February 27, 2018 - September 11, 2019

TD AMERITRADE, INC.

RIA

CRD#: 7870

MOBILE, AL

Past

February 26, 2018 - September 11, 2019

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

MOBILE, AL

Past

February 26, 2018 - September 11, 2019

TD AMERITRADE, INC.

CRD#: 7870

MOBILE, AL

Past

February 23, 2017 - February 26, 2018

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

January 18, 2001 - February 26, 2018

SCOTTRADE, INC.

CRD#: 8206

MOBILE, AL

Past

May 24, 2000 - January 23, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

December 9, 1997 - May 3, 2000

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

October 3, 1995 - January 8, 1997

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

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

IAR

Alabama
(12/3/2024)

Alabama
(12/4/2024)

Alaska
(12/17/2024)

Arizona
(12/9/2024)

Arkansas
(12/12/2024)

California
(12/4/2024)

Connecticut
(12/4/2024)

Delaware
(12/9/2024)

Georgia
(12/5/2024)

Hawaii
(12/5/2024)

Idaho
(12/5/2024)

Illinois
(12/5/2024)

Indiana
(12/4/2024)

Iowa
(12/12/2024)

Kansas
(12/4/2024)

Kentucky
(12/3/2024)

Maine
(12/5/2024)

Massachusetts
(12/4/2024)

Michigan
(12/5/2024)

Minnesota
(12/3/2024)

Mississippi
(12/3/2024)

Missouri
(12/4/2024)

Montana
(12/3/2024)

Nebraska
(12/3/2024)

Nevada
(12/4/2024)

New Hampshire
(12/17/2024)

New Jersey
(12/3/2024)

New Mexico
(12/5/2024)

New York
(12/5/2024)

North Carolina
(12/5/2024)

North Dakota
(12/9/2024)

Oklahoma
(12/3/2024)

Oregon
(12/5/2024)

Pennsylvania
(12/4/2024)

Rhode Island
(12/4/2024)

South Carolina
(12/3/2024)

South Dakota
(12/4/2024)

Tennessee
(12/4/2024)

Texas
(12/3/2024)

Utah
(12/4/2024)

Vermont
(12/4/2024)

Virginia
(12/4/2024)

Washington
(12/4/2024)

West Virginia
(12/9/2024)

Wisconsin
(12/5/2024)

Wyoming
(12/5/2024)

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: 2/23/2017

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/30/1995

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: 10/2/1995

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 24

Date: 4/27/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 11/18/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

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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Advisor Monitoring

Firm Stability Insights

Vincent D. Matthews

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vincent De Paul Matthews's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

HUB INVESTMENT PARTNERS, LLC

EMPOWER FINANCIAL SERVICES, INC.

CETERA INVESTMENT ADVISERS LLC

CETERA INVESTMENT SERVICES LLC

HANCOCK WHITNEY INVESTMENT SERVICES INC.

HANCOCK WHITNEY INVESTMENT SERVICES INC.

L&L FINANCIAL SERVICES, LLP

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

WADDELL & REED

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/23/2017

Series 63

Date: 10/30/1995

SIE

Date: 10/1/2018

Series 7

Date: 10/2/1995

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 4/27/2001

Series 8

Date: 11/18/1998

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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