Claudia G. Leao
Professional summary
Claudia Guimaraes Leao, who also goes by Claudia Guimaraes, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Long Beach, California and EMPOWER FINANCIAL SERVICES, INC. located in Corona, California.
Claudia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Claudia has worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Claudia Guimaraes Leao's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 16, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
February 22, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
April 20, 2012 - December 9, 2019
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 10, 2010 - December 21, 2011
CITIGROUP GLOBAL MARKETS INC.
October 8, 2008 - September 23, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
May 29, 2007 - August 14, 2008
CITIGROUP GLOBAL MARKETS INC.
February 5, 2003 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 5, 1999 - February 5, 2003
CAL FED INVESTMENTS
Primary Firm SEC Registration
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/25/2022)
(3/16/2022)
(6/28/2022)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
Current Firm
EMPOWER ADVISORY GROUP, LLC
CRD#: 112058 / SEC#: 801-58105
Contact information
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 |
|---|---|---|
| 02/26/2026 | ||
| 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.
