Lori S. Duquette
Professional summary
Lori Susan Duquette, who also goes by Lori S Amicone, Lori Susan Amicone, Lori S Duquette, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Middletown, Connecticut and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Lori has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lori Susan Duquette's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 18, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
August 18, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111March 2, 2021 - July 11, 2022
CITIZENS SECURITIES, INC.
March 2, 2021 - July 11, 2022
CITIZENS SECURITIES, INC.
February 12, 2016 - March 1, 2021
SANTANDER SECURITIES LLC
February 12, 2016 - March 1, 2021
SANTANDER SECURITIES LLC
April 17, 2013 - January 21, 2016
CITIZENS SECURITIES, INC.
January 2, 2013 - January 21, 2016
CITIZENS SECURITIES, INC.
September 19, 2012 - December 17, 2012
SANTANDER SECURITIES LLC
May 27, 2008 - September 20, 2012
LPL FINANCIAL LLC
November 27, 2001 - May 27, 2008
IFMG SECURITIES, INC.
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.
