TL
Thomas A. Legendre
EMPOWER ADVISORY GROUP
Cotter, AR
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CRD#: 7277781
TL
Professional summary
Thomas Alcee Legendre, who also goes by Thomas Legendre, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Cotter, Arkansas and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Thomas has worked at 5 firms and has passed the Series 66, Series 63, Series 6TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Legendre
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.
HD Vest Insurance Agency, LLC~'IR'~3200 Olympus Blvd~Coppell~TX~75019~Equity Indexed Annuity~Agent~12/4/2020~20hrs~20hrs~I may have the ability to sell any, or all of the following products: variable annuities, fixed annuities, any/all types of index annuities, variable insurance (e.g. VUL/VIL).|Avoca Duck Club~'NIR'~200 Avoca Rd.~Morgan City~LA~70380~Other~Other~11/1/2015~1hrs~1hrs~My duties as a duck guide are to take members of the club on ducking hunting trips. For me, this activity is limited strictly to weekends and holidays. Guiding the hunts takes up the majority of my time.|CoSource Financial Group LLC~'IR'~152 W Main St.~New Iberia~LA~70560~Other~Employee~12/4/2020~140hrs~110hrs~I will be partaking in the completion of investment paper work, mutual fund research, investment research, and back office support. These activities will be conducted to provide aid to Avantax advisors with their day to day activities. Out of the activities listed above, the completion of investment paperwork will consume the majority of my time.|
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Alcee Legendre'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
December 9, 2024 - Present
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
Cotter, AR
Current
December 2, 2024 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111BD
CRD#: 13109
Greenwood Village, CO
Past
February 12, 2021 - September 12, 2024
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
New Iberia, LA
Past
January 6, 2021 - September 12, 2024
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Thibodaux, LA
Past
July 31, 2020 - September 1, 2020
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
Austin, TX
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(12/2/2024)
RR
Alaska(12/2/2024)
RR
Arizona(12/2/2024)
RR
Arkansas(12/2/2024)
IAR
Arkansas(12/9/2024)
RR
California(12/2/2024)
RR
Connecticut(12/2/2024)
RR
Delaware(12/2/2024)
RR
Georgia(12/2/2024)
RR
Hawaii(12/2/2024)
RR
Idaho(12/2/2024)
RR
Illinois(12/2/2024)
RR
Indiana(12/2/2024)
RR
Iowa(12/2/2024)
RR
Kansas(12/2/2024)
RR
Kentucky(12/2/2024)
RR
Maine(12/2/2024)
RR
Massachusetts(12/2/2024)
RR
Michigan(12/2/2024)
RR
Minnesota(12/2/2024)
RR
Mississippi(12/2/2024)
RR
Missouri(12/2/2024)
RR
Montana(12/2/2024)
RR
Nebraska(12/2/2024)
RR
Nevada(12/2/2024)
RR
New Hampshire(12/2/2024)
RR
New Jersey(12/2/2024)
RR
New Mexico(12/2/2024)
RR
New York(12/2/2024)
RR
North Carolina(12/2/2024)
RR
North Dakota(12/2/2024)
RR
Oklahoma(12/2/2024)
RR
Oregon(12/2/2024)
RR
Pennsylvania(12/2/2024)
RR
Rhode Island(12/2/2024)
RR
South Carolina(12/2/2024)
RR
South Dakota(12/2/2024)
RR
Tennessee(12/2/2024)
RR
Texas(12/2/2024)
RR
Utah(12/2/2024)
RR
Vermont(12/2/2024)
RR
Virginia(12/2/2024)
RR
Washington(12/2/2024)
RR
West Virginia(12/2/2024)
RR
Wisconsin(12/2/2024)
RR
Wyoming(12/2/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/19/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 7/31/2020
General Securities Representative ExaminationGeneral Industry/Product 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.
