Vinh Q. Do
Professional summary
Vinh Quang Do, who also goes by VInh Quang Do, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in San Jose, California and EMPOWER FINANCIAL SERVICES, INC. located in Woodinville, Washington.
Vinh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Vinh has worked at 13 firms and has passed the Series 66, 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 Vinh Quang Do's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 7, 2024 - Present
EMPOWER ADVISORY GROUP, LLC
April 16, 2024 - Present
EMPOWER FINANCIAL SERVICES, INC.
November 23, 2021 - April 9, 2024
MUTUAL OF AMERICA SECURITIES LLC
April 29, 2019 - April 14, 2020
CETERA INVESTMENT ADVISERS LLC
April 29, 2019 - April 14, 2020
CETERA INVESTMENT SERVICES LLC
December 7, 2017 - April 23, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
December 7, 2017 - April 23, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 10, 2015 - October 11, 2017
CUSO FINANCIAL SERVICES, L.P.
August 7, 2015 - October 11, 2017
CUSO FINANCIAL SERVICES, L.P.
January 14, 2015 - August 6, 2015
HARRISDIRECT LLC
January 14, 2015 - August 6, 2015
E*TRADE SECURITIES LLC
March 23, 2011 - January 23, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 2011 - January 23, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 11, 2011 - March 18, 2011
NEW ENGLAND SECURITIES
August 11, 2010 - March 18, 2011
NEW ENGLAND SECURITIES
November 24, 2009 - June 16, 2010
CHASE INVESTMENT SERVICES CORP.
October 10, 2007 - March 27, 2009
WELLS FARGO CLEARING 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
(4/16/2024)
(6/7/2024)
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
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