Lazaro Guzman
Professional summary
Lazaro Guzman, who also goes by Lazaro Enrique Guzman, is a registered financial advisor currently at EMPOWER CAPITAL MANAGEMENT, LLC located in West Hartford, Connecticut and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.
Lazaro is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Lazaro has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Lazaro Guzman's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 21, 2023 - Present
EMPOWER CAPITAL MANAGEMENT, LLC
January 3, 2023 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 8515 E Orchard Road, Greenwood Village, CO 80111April 11, 2019 - December 13, 2022
GLOBAL PORTFOLIO STRATEGIES, INC.
February 26, 2007 - December 13, 2022
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
Primary Firm SEC Registration
EMPOWER CAPITAL MANAGEMENT, LLC
CRD#: 107272 / SEC#: 801-52309
State Registrations and Notice Filings
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Exams
FINRA
Current Firm
EMPOWER CAPITAL MANAGEMENT, LLC
CRD#: 107272 / SEC#: 801-52309
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 155 |
| AUM (Assets Under Management) | $ 68,344,867,702 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 07/18/2024 | ||
| 10/27/2023 | ||
| 04/14/2023 | ||
| 03/29/2023 |
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.
