Joseph M. Dumas
Professional summary
Joseph Michael Dumas, who also goes by Joseph Michael Dumas, Joe Dumas, Joseph M Dumas, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Highlands Ranch, Colorado and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Michael Dumas's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 1, 2023 - Present
EMPOWER ADVISORY GROUP, LLC
November 1, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E. Orchard Rd, Greenwood Village, CO 80111August 9, 2022 - August 10, 2023
E*TRADE SECURITIES LLC
November 9, 2021 - August 10, 2023
MORGAN STANLEY
November 9, 2021 - August 10, 2023
MORGAN STANLEY
January 16, 2015 - October 21, 2021
CHARLES SCHWAB & CO., INC.
August 12, 2004 - October 21, 2021
CHARLES SCHWAB & CO., INC.
November 1, 2002 - July 6, 2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 10, 2002 - September 9, 2002
COMPUTERSHARE SECURITIES CORPORATION
July 7, 1999 - April 30, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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Exams
FINRA
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.
