Carleton F. Ellis

EMPOWER ADVISORY GROUP

Chelmsford, MA

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CRD#: 6562250

Professional summary

Carleton F Ellis IV, who also goes by Carleton F Ellis, Carleton Frederick Ellis IV, Carleton Frederick Ellis, Carl F Ellis Iv, is a registered financial advisor currently at EMPOWER ADVISORY GROUP, LLC located in Chelmsford, Massachusetts and EMPOWER FINANCIAL SERVICES, INC. located in Greenwood Village, Colorado.

Carleton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Carleton has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carleton F Ellis | Carleton Frederick Ellis Iv | Carleton Frederick Ellis | Carl F Ellis Iv

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.

Name: Young Legends Street Hockey, Role: Director/Founder, Type: Retail Sales, Start Date: 06/01/2004, Investment Related?: No, Address: 5 Bray Street, Glouester, MA 01930, Number of Hours/Mo: 10, Duties: I help with educating our coaching staff, creating our schedule. I also coach a team and run our skill sessions. Our treasurer and vice president handle all monetary transactions. We do not have any investment related activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carleton F Ellis IV'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

August 11, 2021 - Present

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Chelmsford, MA

Current

July 7, 2021 - Present

EMPOWER FINANCIAL SERVICES, INC.

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

CRD#: 13109

Greenwood Village, CO

Past

October 2, 2020 - December 31, 2020

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Burlington, MA

Past

October 2, 2020 - January 11, 2021

TD AMERITRADE, INC.

RIA

CRD#: 7870

BURLINGTON, MA

Past

July 20, 2020 - January 11, 2021

TD AMERITRADE, INC.

CRD#: 7870

BURLINGTON, MA

Past

August 1, 2019 - June 11, 2020

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

NASHUA, NH

Past

August 1, 2019 - June 11, 2020

CITIZENS SECURITIES, INC.

CRD#: 39550

NASHUA, NH

Past

July 18, 2018 - July 31, 2019

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

ELLSWORTH, ME

Past

July 18, 2018 - July 31, 2019

OSAIC INSTITUTIONS, INC.

CRD#: 35371

ELLSWORTH, ME

Past

November 30, 2016 - July 12, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

MERRIMACK, NH

Past

October 30, 2015 - July 10, 2018

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

MERRIMACK, NH

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
(8/19/2021)

Alaska
(8/16/2021)

Arizona
(8/19/2021)

Arkansas
(8/12/2021)

California
(7/8/2021)

Connecticut
(7/8/2021)

Delaware
(9/22/2021)

Georgia
(7/8/2021)

Hawaii
(9/13/2021)

Idaho
(7/8/2021)

Illinois
(8/26/2021)

Indiana
(8/17/2021)

Iowa
(7/8/2021)

Kansas
(7/8/2021)

Kentucky
(8/2/2021)

Maine
(7/8/2021)

Massachusetts
(8/11/2021)

IAR

Massachusetts
(8/11/2021)

Michigan
(7/8/2021)

Minnesota
(8/12/2021)

Mississippi
(8/16/2021)

Missouri
(7/8/2021)

Montana
(7/8/2021)

Nebraska
(8/12/2021)

Nevada
(9/14/2021)

New Hampshire
(7/7/2021)

New Jersey
(8/16/2021)

New Mexico
(10/6/2021)

New York
(8/17/2021)

North Carolina
(7/8/2021)

North Dakota
(9/15/2021)

Oklahoma
(8/12/2021)

Oregon
(7/13/2021)

Pennsylvania
(7/8/2021)

Rhode Island
(9/15/2021)

South Carolina
(8/31/2021)

South Dakota
(8/18/2021)

Tennessee
(8/12/2021)

Texas
(8/11/2021)

Utah
(8/16/2021)

Vermont
(8/12/2021)

Virginia
(8/12/2021)

Washington
(8/23/2021)

West Virginia
(8/12/2021)

Wisconsin
(7/8/2021)

Wyoming
(9/15/2021)

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: 11/22/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 11/6/2015

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: 10/30/2015

General Securities Representative 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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Carleton F. Ellis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carleton F Ellis IV's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPOWER FINANCIAL SERVICES, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

Primary Firm SEC Registration

EMPOWER ADVISORY GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/22/2016

Series 63

Date: 11/6/2015

SIE

Date: 10/1/2018

Series 7

Date: 10/30/2015

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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