John R. Dorso
Professional summary
John Richard Dorso, who also goes by John Richard Dorso Jr., John Richard Dorso, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Winthrop, Massachusetts and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. John has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view John Richard Dorso's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 13, 2025 - Present
EMPOWER ADVISORY GROUP, LLC
October 12, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111February 5, 2020 - December 31, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
February 5, 2020 - November 1, 2021
AMERIPRISE FINANCIAL SERVICES, LLC
March 19, 2018 - February 6, 2020
CUSO FINANCIAL SERVICES, L.P.
February 26, 2018 - February 6, 2020
CUSO FINANCIAL SERVICES, L.P.
April 5, 2016 - January 30, 2017
TD AMERITRADE, INC.
April 5, 2016 - January 30, 2017
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 28, 2016 - January 30, 2017
TD AMERITRADE, INC.
May 4, 2015 - March 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 2015 - March 14, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 17, 2013 - August 21, 2014
CITIZENS SECURITIES, INC.
April 21, 2010 - August 21, 2014
CITIZENS SECURITIES, INC.
October 20, 2004 - February 24, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 21, 2004 - October 20, 2004
QUICK & REILLY, INC.
March 5, 2002 - May 27, 2004
APEX CLEARING CORPORATION
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.
