Peter J. Gruenes

EMPOWER ADVISORY GROUP

Sandy, OR

Some features on this profile are disabled

CRD#: 4238652

Professional summary

Peter James Gruenes, who also goes by Peter James Gruenes, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Sandy, Oregon and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Peter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Peter has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Peter James Gruenes

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.

1. Name: Leap 2. Investment-related: No 3. Address: 806 SW Broadway Suite 300, Portland, Oregon 97204 4. Nature: Charity-Victim Rehabilitation 5. Position: Committee member 6. Start Date: 3/27/2019 7. Approx number of hrs/mth devoted to the other business: 2 8. Number of hrs devoted during securities trading hrs: 0 9. Duties: Finance committee advises board of directors on procurements, vendor selection, and overall financial strategy. Finance committee members have no access to funds, or account records outside of analysis presented by the board. No fund raising activities.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter James Gruenes'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

February 7, 2024 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Sandy, OR

Current

February 7, 2024 - Present

EMPOWER FINANCIAL SERVICES, INC.

Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111

CRD#: 13109

Greenwood Village, CO

Past

March 23, 2023 - August 14, 2023

MORGAN STANLEY

RIA

CRD#: 149777

Portland, OR

Past

March 23, 2023 - August 14, 2023

MORGAN STANLEY

CRD#: 149777

Portland, OR

Past

October 7, 2016 - August 14, 2023

HARRISDIRECT LLC

RIA

CRD#: 42159

Portland, OR

Past

October 7, 2016 - August 14, 2023

E*TRADE SECURITIES LLC

CRD#: 29106

Portland, OR

Past

May 23, 2016 - September 23, 2016

SCOTTRADE, INC.

CRD#: 8206

REDMOND, WA

Past

April 24, 2009 - March 3, 2016

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

BELLEVUE, WA

Past

July 10, 2006 - March 23, 2009

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

BELLEVUE, WA

Past

July 10, 2006 - March 3, 2016

TD AMERITRADE, INC.

RIA

CRD#: 7870

BELLEVUE, WA

Past

July 10, 2006 - March 3, 2016

TD AMERITRADE, INC.

CRD#: 7870

BELLEVUE, WA

Past

February 2, 2006 - July 5, 2006

T. ROWE PRICE ADVISORY SERVICES, INC.

RIA

CRD#: 108958

OAK BROOK, IL

Past

February 2, 2006 - July 5, 2006

T. ROWE PRICE INVESTMENT SERVICES, INC.

CRD#: 8348

NORTHBROOK, IL

Past

June 16, 2004 - June 20, 2005

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

LAGUNA HILLS, CA

Past

October 9, 2003 - June 20, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

April 6, 2001 - December 3, 2001

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

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".

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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/23/2024)

Alaska
(2/23/2024)

Arizona
(2/26/2024)

Arkansas
(2/29/2024)

California
(2/7/2024)

Connecticut
(2/8/2024)

Delaware
(2/15/2024)

Georgia
(2/12/2024)

Hawaii
(2/23/2024)

Idaho
(2/7/2024)

Illinois
(2/23/2024)

Indiana
(3/6/2024)

Iowa
(2/8/2024)

Kansas
(2/19/2024)

Kentucky
(2/12/2024)

Maine
(2/8/2024)

Massachusetts
(2/8/2024)

Michigan
(3/8/2024)

Minnesota
(2/23/2024)

Mississippi
(2/27/2024)

Missouri
(2/7/2024)

Montana
(2/8/2024)

Nebraska
(2/7/2024)

Nevada
(2/12/2024)

New Hampshire
(2/27/2024)

New Jersey
(2/23/2024)

New Mexico
(2/23/2024)

New York
(3/17/2024)

North Carolina
(2/9/2024)

North Dakota
(2/26/2024)

Oklahoma
(2/26/2024)

IAR

Oregon
(2/7/2024)

Oregon
(2/23/2024)

Pennsylvania
(2/9/2024)

Rhode Island
(2/8/2024)

South Carolina
(2/26/2024)

South Dakota
(2/23/2024)

Tennessee
(2/23/2024)

Texas
(2/8/2024)

Utah
(2/7/2024)

Vermont
(2/23/2024)

Virginia
(2/26/2024)

Washington
(2/23/2024)

West Virginia
(3/4/2024)

Wisconsin
(2/7/2024)

Wyoming
(2/26/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/10/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/11/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/23/2000

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 2/2/2021

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/4/2021

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/28/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

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 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
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.

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Firm Stability Insights

Peter J. Gruenes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Peter James Gruenes's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

MORGAN STANLEY

MORGAN STANLEY

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

SCOTTRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

T. ROWE PRICE ADVISORY SERVICES, INC.

T. ROWE PRICE INVESTMENT SERVICES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/10/2004

Series 63

Date: 1/11/2001

SIE

Date: 10/1/2018

Series 7

Date: 10/23/2000

Series 9

Date: 2/2/2021

Series 10

Date: 1/4/2021

Series 24

Date: 6/28/2009

FINRA

Current Firm

EMPOWER ADVISORY GROUP, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EMPOWER ADVISORY GROUP, LLC

TRUST BUT VERIFY

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