Joseph Dumas is a registered investment advisor, based in Highlands Ranch, CO, with 26 years of industry experience.
Location
Highlands Ranch, CO
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Empower Financial Services, INC.
November 2023 - Present · 2 yrs 6 mos
Empower Advisory Group, LLC
November 2023 - Present · 2 yrs 6 mos
Empower Financial Services, INC.Broker
November 2023 - Present · 2 yrs 6 mos
Previous Registrations
E*trade Securities LLCBroker
August 2022 - August 2023 · 1 yr
Morgan Stanley
November 2021 - August 2023 · 1 yr 9 mos
Morgan StanleyBroker
November 2021 - August 2023 · 1 yr 9 mos
Charles Schwab & CO., INC.
January 2015 - October 2021 · 6 yrs 9 mos
Charles Schwab & CO., INC.Broker
August 2004 - October 2021 · 17 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2002 - July 2004 · 1 yr 8 mos
Computershare Securities CorporationBroker
May 2002 - September 2002 · 4 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1999 - April 2002 · 2 yrs 9 mos
State Registrations46 states
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AdvisorBrokerBoth
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Exams
No exam information available for this advisor.