GB
Guillermo A. Bailey
EMPOWER ADVISORY GROUP
Omaha, NE
Some features on this profile are disabled
CRD#: 5233546
GB
Professional summary
Guillermo Andres Bailey, who also goes by Guillermo Andres Bailey Jr, Guillermo Bailey, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Omaha, Nebraska and EMPOWER FINANCIAL SERVICES, INC. located in Hartford, Connecticut.
Guillermo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Guillermo has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Guillermo Andres Bailey Jr | Guillermo Bailey
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) Receiving trailing commissions only on previously-sold business completed on or before 9/15/22. No solicitation or servicing of any business. 0 hours per month; 0 hours during business hours. 2) 100 Black Men of Omaha, Inc. / Finance Committee Member. Review, discuss and collectively approve or disapprove the financials of the organization. All final decisions will be made by the Executive Director, Treasurer and Executive Board. 4 hours per month; 1 hour per month during business hours (lunch hour).
CRS (Client Relationship Summary) - RIA
Click below to view Guillermo Andres Bailey's 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®
NoneExperience
Current
October 7, 2021 - Present
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
Omaha, NE
Current
October 5, 2021 - Present
EMPOWER FINANCIAL SERVICES, INC.
Office #1: 280 Trumbull Street, Hartford, CT 06103BD
CRD#: 13109
Hartford, CT
Past
January 11, 2019 - September 21, 2021
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
OMAHA, NE
Past
October 17, 2018 - September 21, 2021
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
OMAHA, NE
Past
May 24, 2013 - February 10, 2017
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
DES MOINES, IA
Past
November 20, 2006 - February 5, 2008
STATE FARM VP MANAGEMENT CORP.
BD
CRD#: 43036
BLOOMINGTON, IL
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.RR
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
RR
Alabama(10/13/2021)
RR
Alaska(10/11/2021)
RR
Arizona(10/14/2021)
RR
Arkansas(10/8/2021)
RR
California(10/6/2021)
RR
Connecticut(10/5/2021)
RR
Delaware(10/15/2021)
RR
Georgia(10/8/2021)
RR
Hawaii(12/16/2021)
RR
Idaho(10/5/2021)
RR
Illinois(10/8/2021)
RR
Indiana(10/8/2021)
RR
Iowa(10/6/2021)
RR
Kansas(10/6/2021)
RR
Kentucky(10/7/2021)
RR
Maine(10/5/2021)
RR
Massachusetts(10/6/2021)
RR
Michigan(10/7/2021)
RR
Minnesota(10/13/2021)
RR
Mississippi(10/11/2021)
RR
Missouri(10/5/2021)
RR
Montana(10/12/2021)
RR
Nebraska(10/7/2021)
IAR
Nebraska(10/7/2021)
RR
Nevada(10/14/2021)
RR
New Hampshire(10/19/2021)
RR
New Jersey(10/12/2021)
RR
New Mexico(10/7/2021)
RR
New York(10/9/2021)
RR
North Carolina(10/19/2021)
RR
North Dakota(10/11/2021)
RR
Oklahoma(10/11/2021)
RR
Oregon(10/20/2021)
RR
Pennsylvania(10/6/2021)
RR
Rhode Island(10/15/2021)
RR
South Carolina(10/21/2021)
RR
South Dakota(10/13/2021)
RR
Tennessee(10/8/2021)
RR
Texas(10/6/2021)
RR
Utah(10/6/2021)
RR
Vermont(10/7/2021)
RR
Virginia(10/12/2021)
RR
Washington(10/7/2021)
RR
West Virginia(10/19/2021)
RR
Wisconsin(10/5/2021)
RR
Wyoming(10/11/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
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
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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
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
