Sean T. Doucette
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.
Sean Thomas Doucette was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2003. Sean had worked at 13 firms and has passed the Series 65, Series 63, Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 11, 2020 - February 24, 2025
EMPOWER ADVISORY GROUP, LLC
August 4, 2020 - February 24, 2025
EMPOWER FINANCIAL SERVICES, INC.
May 15, 2018 - July 15, 2020
CITIZENS SECURITIES, INC.
May 15, 2018 - July 15, 2020
CITIZENS SECURITIES, INC.
February 6, 2017 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
October 12, 2016 - March 9, 2018
SCOTTRADE, INC.
March 11, 2013 - October 28, 2016
AMERITAS INVESTMENT COMPANY, LLC
March 4, 2013 - October 28, 2016
AMERITAS INVESTMENT COMPANY, LLC
July 30, 2012 - March 18, 2013
MML INVESTORS SERVICES, LLC
January 31, 2011 - July 31, 2012
NEXT FINANCIAL GROUP, INC.
January 31, 2011 - July 31, 2012
NEXT FINANCIAL GROUP, INC.
November 9, 2009 - October 26, 2010
VOYA FINANCIAL ADVISORS, INC.
October 30, 2009 - October 26, 2010
VOYA FINANCIAL ADVISORS, INC.
May 29, 2008 - June 26, 2009
CETERA INVESTMENT SERVICES LLC
May 7, 2008 - June 26, 2009
BANCNORTH INVESTMENT GROUP, INC.
November 21, 2006 - January 15, 2008
FIDELITY BROKERAGE SERVICES LLC
October 22, 2003 - September 7, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
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
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.
