Sheila C. Guzzy
Professional summary
Sheila Christine Guzzy, who also goes by Sheila C Guzzy, Sheila C Sulkowski ^, Sheila C Sulkowski, Sheila Christine Sulkowski ^, Sheila Christine Sulkowski, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Wexford, Pennsylvania and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Sheila is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Sheila has worked at 11 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sheila Christine Guzzy's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 24, 2022 - Present
EMPOWER ADVISORY GROUP, LLC
February 24, 2022 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111March 31, 2015 - November 5, 2020
ALIGHT FINANCIAL ADVISORS, LLC
March 31, 2015 - November 5, 2020
ALIGHT FINANCIAL SOLUTIONS, LLC
July 25, 2012 - December 31, 2014
MISSIONSQUARE RETIREMENT
July 25, 2012 - December 31, 2014
MISSIONSQUARE INVESTMENT SERVICES
July 12, 2011 - July 18, 2012
TD AMERITRADE, INC.
July 12, 2011 - July 18, 2012
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
July 12, 2011 - July 18, 2012
TD AMERITRADE, INC.
November 12, 2008 - June 28, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2008 - June 28, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 20, 2007 - June 24, 2008
JOHN HANCOCK DISTRIBUTORS LLC
March 12, 2002 - December 4, 2006
WELLS FARGO CLEARING SERVICES, LLC
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
(2/24/2022)
(2/24/2022)
(2/24/2022)
Exams
Series 7TO
Date: 8/29/2023
General Securities Representative ExaminationSeries 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 |
|---|---|---|
| 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.
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