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RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

VINH DO

Advisor at EMPOWER ADVISORY GROUP, LLC

SAN JOSE, CA | GREENWOOD VILLAGE, CO

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Search this name across graphsid dfx:ria:209ac1fa-a543-c833-b3df-6709690f6c4a

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 11, 2011 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: EMPOWER ADVISORY GROUP, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 11, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63|S66
First exam: Oct 11, 2007
First registration: Feb 11, 2011
Dual registered: yes, broker-dealer
Other names: VINH DO|VINH QUANG DO
IAPD individual key: 5410292

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
EMPOWER ADVISORY GROUP, LLC	Bd affiliated wealth	Jun 7, 2024	n/a	yes	GREENWOOD VILLAGE, CO\|SAN JOSE, CA	Current employment
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Apr 29, 2019	Apr 14, 2020	no	SAN JOSE, CA	Previous registration
ADVICE AND PLANNING SERVICES	Bd affiliated wealth	Dec 7, 2017	Apr 23, 2019	no	PALO ALTO, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Aug 10, 2015	Oct 11, 2017	no	MILPITAS, CA\|Livermore, CA\|Livermore, CA\|SAN DIEGO, CA\|Tracy, CA\|Pleasanton, CA\|Livermore, CA\|Livermore, CA	Previous registration
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jan 14, 2015	Aug 6, 2015	no	CUPERTINO, CA\|ARLINGTON, VA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 23, 2011	Jan 23, 2015	no	SAN JOSE, CA\|SAN JOSE, CA\|SAN JOSE, CA\|PALO ALTO, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SAN JOSE, CA\|SAN JOSE, CA	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Feb 11, 2011	Mar 18, 2011	no	CAMPBELL, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CETERA INVESTMENT ADVISERS LLC	EMPOWER ADVISORY GROUP, LLC	Apr 14, 2020	Jun 7, 2024	1,515	Firm change after gap	Ibd to ibd
ADVICE AND PLANNING SERVICES	CETERA INVESTMENT ADVISERS LLC	Apr 23, 2019	Apr 29, 2019	6	Firm change	Ibd to ibd
CUSO FINANCIAL SERVICES, L.P.	ADVICE AND PLANNING SERVICES	Oct 11, 2017	Dec 7, 2017	57	Firm change	Other
E*TRADE CAPITAL MANAGEMENT, LLC	CUSO FINANCIAL SERVICES, L.P.	Aug 6, 2015	Aug 10, 2015	4	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	E*TRADE CAPITAL MANAGEMENT, LLC	Jan 23, 2015	Jan 14, 2015	-9	Firm change	Other
NEW ENGLAND SECURITIES CORPORATION	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 18, 2011	Mar 23, 2011	5	Firm change	Other

Relationships

Registered with (7)

→ EMPOWER ADVISORY GROUP, LLCRegistered adviserregistration: current employment
Jun 7, 2024 to presentfactForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Apr 29, 2019 to Apr 14, 2020factForm ADV
→ ADVICE AND PLANNING SERVICESRegistered adviserregistration: previous registration
Dec 7, 2017 to Apr 23, 2019factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Aug 10, 2015 to Oct 11, 2017factForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jan 14, 2015 to Aug 6, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 23, 2011 to Jan 23, 2015factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Feb 11, 2011 to Mar 18, 2011factForm ADV

Dated events

No dated event names this entity yet.