Stephen M. Pontello
Professional summary
Stephen Michael Pontello, who also goes by Stephen Michael Pontello Jr, Steve Michael Pontello Jr., Stevie Michael Pontello Jr, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Lake Saint Louis, Missouri and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Stephen has worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Michael Pontello's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 24, 2021 - Present
EMPOWER ADVISORY GROUP, LLC
May 27, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111October 19, 2017 - July 15, 2019
TD AMERITRADE, INC.
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
(1/9/2023)
(1/11/2023)
(1/23/2023)
(1/27/2023)
(1/10/2023)
(1/11/2023)
(1/9/2023)
(1/11/2023)
(1/10/2023)
(1/10/2023)
(8/26/2021)
(1/10/2023)
(1/9/2023)
(1/9/2023)
(1/10/2023)
(1/10/2023)
(1/10/2023)
(1/11/2023)
(1/11/2023)
(1/17/2023)
(5/27/2021)
(8/24/2021)
(1/9/2023)
(1/10/2023)
(1/20/2023)
(1/13/2023)
(1/9/2023)
(1/10/2023)
(1/10/2023)
(1/10/2023)
(1/17/2023)
(6/2/2021)
(1/9/2023)
(1/10/2023)
(1/12/2023)
(1/27/2023)
(1/11/2023)
(1/12/2023)
(1/9/2023)
(1/10/2023)
(1/9/2023)
(1/9/2023)
(1/10/2023)
(1/20/2023)
(6/1/2021)
(1/11/2023)
Exams
Series 7TO
Date: 1/30/2024
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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.
