Michael D. Pominville
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.
Michael David Pominville, who also goes by Michael D Pominville, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had worked at 17 firms and has passed the Series 63, Series 65, Series 66, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2023 - July 23, 2024
EMPOWER ADVISORY GROUP, LLC
October 20, 2023 - July 23, 2024
EMPOWER FINANCIAL SERVICES, INC.
February 11, 2023 - October 10, 2023
AE FINANCIAL SERVICES, LLC
December 15, 2022 - October 5, 2023
FINANCIAL SERVICES OF AMERICA ADVISORS
October 9, 2019 - February 17, 2020
UNITED ADVISORS AMERICA
May 2, 2019 - August 28, 2019
HARBOR LIGHT PLANNING
June 21, 2017 - February 12, 2019
CITIZENS SECURITIES, INC.
June 21, 2017 - February 12, 2019
CITIZENS SECURITIES, INC.
September 14, 2016 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
September 14, 2016 - April 28, 2017
PNC WEALTH MANAGEMENT LLC
March 15, 2016 - May 24, 2016
EDWARD JONES
March 14, 2016 - May 24, 2016
EDWARD JONES
November 12, 2014 - October 23, 2015
SCOTTRADE, INC.
October 23, 2013 - July 29, 2014
SANDERS MORRIS LLC
September 10, 2013 - July 29, 2014
EDELMAN FINANCIAL SERVICES, LLC
July 2, 2010 - November 1, 2013
BLOOM ADVISORS
February 18, 1999 - February 16, 2007
CHARLES SCHWAB & CO., INC.
July 27, 1998 - January 28, 1999
LASALLE FINANCIAL SERVICES, INC.
July 15, 1998 - July 27, 1998
STANDARD BROKERAGE SERVICES, INC.
December 10, 1997 - May 20, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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
Series 7TO
Date: 2/10/2023
General Securities Representative ExaminationCurrent 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.
