William M. Mondragon
Professional summary
William Miguel Mondragon, who also goes by William M Mondragon, William Miguel Mondragon, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Port Saint Lucie, Florida and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
William is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. William has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view William Miguel Mondragon's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 24, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
April 29, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111October 27, 2016 - March 8, 2022
WELLS FARGO CLEARING SERVICES, LLC
August 31, 2015 - March 8, 2022
WELLS FARGO CLEARING SERVICES, LLC
October 21, 2013 - July 22, 2015
LPL FINANCIAL LLC
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.
