Carleton F Ellis

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2015 → 07/2018
  Fidelity Brokerage Services Llc
  Merrimack, NH
• 07/2018 → 07/2019
  Infinex Investments, Inc.
  Meriden, CT
• 07/2019 → 06/2020
  Citizens Securities Inc.
  Nashua, NH
• 06/2020 → 01/2021
  Td Ameritrade
  Burlington, MA
• 01/2021 → 05/2021
  Unemployment
  Chelmsford, MA
• 05/2021 → Present
  Gwfs Equities, Inc.
  Greenwood Village, CO
• 07/2018 → 07/2019
  Bar Harbor Bank And Trust
  Ellsworth, ME

Previous Registrations

• 2020-10-02 → 2021-01-11
  Td Ameritrade, Inc.
  Burlington, MA
• 2020-10-02 → 2020-12-31
  Td Ameritrade Investment Management, Llc
  Burlington, MA
• 2019-08-01 → 2020-06-11
  Citizens Securities, Inc.
  Hudson, NH
  Nashua, NH
• 2018-07-18 → 2019-07-31
  Osaic Institutions, Inc.
  Ellsworth, ME
  Nashua, NH
• 2016-11-30 → 2018-07-12
  Strategic Advisers Llc
  Merrimack, NH

Other Businesses

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.

Exams

• S66 Uniform Combined State Law Examination
  2016-11-22
• S63 Uniform Securities Agent State Law Examination
  2015-11-06

Other Names

• Carleton Frederick Ellis
• Carleton Frederick Ellis
• Carl F Ellis
• Carleton F Ellis