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Charles L. Guy

EMPOWER ADVISORY GROUP
GREENWOOD VILLAGE, CO 80111
Some features on this profile are disabled
CRD#: 2362517
CG

Professional summary

Charles Lavon Guy JR., who also goes by Charles L Guy Jr, Charles Lavon Guy Jr, Charles L Guy Jr Jr, Charles Lavon Guy Jr, Charles L Guy Jr. Jr, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Greenwood Village, Colorado.

Charles is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. Charles has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Charles L Guy Jr | Charles Lavon Guy Jr | Charles L Guy Jr Jr | Charles Lavon Guy Jr | Charles L Guy Jr. Jr

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles Lavon Guy JR.'s CRS (Customer Relationship Summary).
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®
None

Experience

Current

April 3, 2023 - Present

EMPOWER ADVISORY GROUP, LLC

Office #1: 8515 East Orchard Rd 4t2, Greenwood Village, CO 80111
RIA
CRD#: 112058
GREENWOOD VILLAGE, CO
Past

February 7, 2018 - April 3, 2023

PERSONAL CAPITAL ADVISORS CORPORATION

RIA
CRD#: 155172
Denver, CO
Past

June 16, 2016 - August 4, 2017

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
LONE TREE, CO
Past

February 24, 2014 - August 4, 2017

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
LONE TREE, CO
Past

November 23, 2010 - August 31, 2012

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

June 1, 2009 - November 10, 2010

MORGAN STANLEY

BD
CRD#: 149777
DENVER, CO
Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
DENVER, CO
Past

March 24, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
DENVER, CO
Past

July 19, 1993 - January 1, 1994

NYLIFE SECURITIES LLC

BD
CRD#: 5167

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.

Highlighted states indicate IAR registrations

IAR
Colorado
(4/3/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 6/16/2016
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/28/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 8/4/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/23/2005
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/16/1993
Investment Company Products/Variable Contracts Representative Examination

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
Registered Investment Advisory firm - (11/22/2000 Approved)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

EMPOWER ADVISORY GROUP PERSONAL STRATEGY(R) WRAP FEE PROGRAM (11/25/2025)
EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE FOR EMPOWER PREMIER IRA (9/22/2025)
EMPOWER ADVISORY GROUP FINANCIAL PLANNING SERVICE (9/19/2025)
EMPOWER PREMIER INVESTMENT ACCOUNT (9/19/2025)
EMPOWER ADVISORY GROUP WRAP FEE PROGRAM BROCHURE FOR EMPOWER MANAGED PORTFOLIOS (9/19/2025)
EMPOWER ADVISORY GROUP - ONLINE ADVICE & PROFESSIONAL MANAGEMENT PROGRAM (9/19/2025)
EMPOWER ADVISORY GROUP - ONLINE ADVICE & MANAGED ACCOUNT SERVICE/MY TOTAL RETIREMENT (9/19/2025)

Regulatory assets under management

Total Number of Accounts250,707
AUM (Assets Under Management)$ 159,120,330,491

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
03/28/2025
Cover Page
Report
11/21/2023
Cover Page
Report

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.

Company Information

EMPOWER ADVISORY GROUP, LLC

CRD#: 112058Greenwood Village, CO 80111

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