Joan L. Stoddard
Professional summary
Joan Lynn Stoddard, CFP®, who also goes by Joanie Lynn Stoddard, Joan Lynn Szewzuk, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Tempe, Arizona and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Joan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Joan has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joan Lynn Stoddard's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 25, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
February 22, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111August 29, 2019 - September 15, 2020
BANCWEST INVESTMENT SERVICES, INC.
August 27, 2019 - September 15, 2020
BANCWEST INVESTMENT SERVICES, INC.
July 11, 2018 - July 1, 2019
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
January 30, 2017 - June 11, 2018
LEARNVEST PLANNING SERVICES, LLC
June 7, 2011 - August 16, 2016
VANGUARD MARKETING CORPORATION
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
(3/1/2022)
(2/25/2022)
(2/24/2022)
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(2/28/2022)
(2/23/2022)
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(3/23/2022)
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(3/4/2022)
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(3/2/2022)
(2/24/2022)
(2/23/2022)
(2/23/2022)
(2/25/2022)
(3/10/2022)
(1/3/2023)
(2/28/2022)
(2/25/2022)
(2/24/2022)
(2/23/2022)
(2/28/2022)
(2/28/2022)
(2/22/2022)
(2/25/2022)
(3/2/2022)
(2/28/2022)
(3/3/2022)
(2/25/2022)
(2/22/2022)
(2/22/2022)
(2/28/2022)
(2/28/2022)
(2/25/2022)
(2/25/2022)
(2/24/2022)
(3/3/2022)
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.
