Tricia J. Tompkins
Professional summary
Tricia Jean Tompkins, who also goes by Tricia Morton, Tricia J Tompkins, Tricia Jean Tompkins-morton, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Elizabethtown, Pennsylvania and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Tricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Tricia has worked at 10 firms and has passed the Series 66, SIE, Series 31, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Tricia Jean Tompkins's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 13, 2023 - Present
EMPOWER ADVISORY GROUP, LLC
October 6, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E. Orchard Rd, Greenwood Village, CO 80111September 20, 2019 - September 29, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
September 20, 2019 - September 29, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 20, 2007 - September 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
April 20, 2007 - September 25, 2019
WELLS FARGO CLEARING SERVICES, LLC
August 31, 2005 - April 18, 2007
M&T SECURITIES, INC.
January 1, 2004 - August 29, 2005
PNC WEALTH MANAGEMENT LLC
January 1, 2004 - August 29, 2005
PNC WEALTH MANAGEMENT LLC
May 23, 2003 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
June 1, 2002 - January 1, 2004
J.J.B. HILLIARD, W.L. LYONS, LLC
February 22, 2002 - June 1, 2002
PNC BROKERAGE CORP
March 30, 2000 - February 13, 2002
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
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Visual representation of state registrations
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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.
