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Joseph Michael Dumas

Empower Advisory Group, LLC

Highlands Ranch, CO

Greenwood Village, CO

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Current Employers
Empower Advisory Group, Llc

8515 East Orchard Rd 4T2, Greenwood Village, CO 80111 • United States

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2023-11-01
  • CO RA
    APPROVED
    Since 2023-11-01

Branch Locations

Highlands Ranch, CO • United States

8515 East Orchard Rd 4T2, Greenwood Village, CO 80111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Lone Tree CO 07/2004 10/2021
Rental Services Fraser CO 02/2017 Present
Morgan Stanley Denver CO 10/2021 07/2023
Morgan Stanley Denver CO 08/2022 07/2023
Empower Financial Services, Inc Greenwood Village CO 10/2023 Present
Empower Advisory Group, Llc Greenwood Village CO 10/2023 Present
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-01-16
S63 Uniform Securities Agent State Law Examination 1999-07-16
  • S66 Uniform Combined State Law Examination
    2015-01-16
  • S63 Uniform Securities Agent State Law Examination
    1999-07-16
Other Names
  • Joseph M Dumas
  • Joseph Michael Dumas
  • Joe Dumas

View on SEC IAPD

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