MP
Michael J. Putnam
EMPOWER ADVISORY GROUP
Rockwall, TX
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CRD#: 7256711
MP
Professional summary
Michael James Putnam is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Rockwall, Texas and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Michael has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO, SIE and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Uber / Driver. Provide transportation using my vehicle and I receive 1099 compensation. 60 hours per month; 0 hours per month during normal business hours.
CRS (Client Relationship Summary) - RIA
Click below to view Michael James Putnam's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 3, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
Rockwall, TX
Current
August 25, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
September 17, 2020 - July 11, 2022
MWA FINANCIAL SERVICES INC.
BD
CRD#: 112630
Liberty, MO
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EA
EMPOWER ADVISORY GROUP, LLC
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
RIA
Registered Investment Advisory firm - (11/22/2000 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(8/26/2022)
RR
Alaska(8/26/2022)
RR
Arizona(8/26/2022)
RR
Arkansas(8/26/2022)
RR
California(8/26/2022)
RR
Connecticut(8/26/2022)
RR
Delaware(8/26/2022)
RR
Georgia(8/26/2022)
RR
Hawaii(8/26/2022)
RR
Idaho(8/26/2022)
RR
Illinois(8/26/2022)
RR
Indiana(8/26/2022)
RR
Iowa(8/26/2022)
RR
Kansas(8/26/2022)
RR
Kentucky(8/26/2022)
RR
Maine(8/26/2022)
RR
Massachusetts(8/26/2022)
RR
Michigan(8/26/2022)
RR
Minnesota(8/26/2022)
RR
Mississippi(8/26/2022)
RR
Missouri(8/26/2022)
RR
Montana(8/26/2022)
RR
Nebraska(8/26/2022)
RR
Nevada(8/26/2022)
RR
New Hampshire(8/26/2022)
RR
New Jersey(8/26/2022)
RR
New Mexico(8/26/2022)
RR
New York(8/26/2022)
RR
North Carolina(8/26/2022)
RR
North Dakota(8/26/2022)
RR
Oklahoma(8/26/2022)
RR
Oregon(8/26/2022)
RR
Pennsylvania(8/26/2022)
RR
Rhode Island(8/26/2022)
RR
South Carolina(8/26/2022)
RR
South Dakota(8/26/2022)
RR
Tennessee(8/26/2022)
RR
Texas(8/26/2022)
IAR
Texas(11/3/2022)
RR
Utah(8/26/2022)
RR
Vermont(8/26/2022)
RR
Virginia(8/26/2022)
RR
Washington(8/26/2022)
RR
West Virginia(8/26/2022)
RR
Wisconsin(8/26/2022)
RR
Wyoming(8/26/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/25/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 9/17/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
EA
EMPOWER ADVISORY GROUP, LLC
ADVISED ASSETS GROUP INC | EMPOWER ADVISORY GROUP, LLC | ADVISED ASSETS GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
RIA
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Contact information
Main Address
8515 East Orchard Rd 4t2, Greenwood Village, CO 80111
Mailing Address
Phone number
(866) 575-4977
Established
Firm type
Fiscal year end
# of Employees
822
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.
