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Claudia Guimaraes Leao

Empower Advisory Group, LLC

Long Beach, CA

Greenwood Village, CO

CRD 3142393

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Employer firm

Empower Advisory Group, LLC CRD 112058

$195B regulatory AUM 24 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Empower Advisory Group, Llc

8515 East Orchard Rd 4T2, Greenwood Village, CO 80111 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-03-16
  • CA RA
    APPROVED
    Since 2022-03-16

Branch Locations

Long Beach, CA • United States

8515 East Orchard Rd 4T2, Greenwood Village, CO 80111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tiaa-Cref Individual & Institutional Services, Llc Newport Beach CA 03/2012 12/2019
Unemployed Long Beach CA 01/2020 11/2021
Gwfs Equities, Inc Long Beach CA 12/2021 Present
  • 03/2012 → 12/2019
    Tiaa-Cref Individual & Institutional Services, Llc
    Newport Beach, CA
  • 01/2020 → 11/2021
    Unemployed
    Long Beach, CA
  • 12/2021 → Present
    Gwfs Equities, Inc
    Long Beach, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-03-16
S63 Uniform Securities Agent State Law Examination 2022-02-24
  • S65 Uniform Investment Adviser Law Examination
    2022-03-16
  • S63 Uniform Securities Agent State Law Examination
    2022-02-24
Other Names
  • Claudia Guimaraes

View on SEC IAPD

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