Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Charles? Claim Your ProfileCharles Lavon Guy Jr. is an Investment Advisor Representative with Empower Advisory Group, LLC. Charles has been in the industry since 1993. Previously, Charles was registered with Charles Schwab & Co., Inc., UBS Financial Services Inc., Morgan Stanley Smith Barney, Morgan Stanley & Co. Incorporated, and Morgan Stanley DW Inc. Charles is registered in Colorado and has passed the Series 6, Series 7, Series 63 and Series 66 exams. Charles specializes in financial planning, portfolio management for individuals, and educational seminars.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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2
CO
04/03/2023 - Present
Empower Advisory Group, LLC (GREENWOOD VILLAGE CO)
CO
02/24/2014 - 08/04/2017
CHARLES SCHWAB & CO., INC. (LONE TREE CO)
NJ
11/23/2010 - 08/31/2012
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
CO
06/01/2009 - 11/10/2010
MORGAN STANLEY SMITH BARNEY (DENVER CO)
CO
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (DENVER CO)
CO
03/24/2005 - 04/02/2007
MORGAN STANLEY DW INC. (DENVER CO)
NA
07/19/1993 - 01/01/1994
NYLIFE SECURITIES INC.
BOTH
Issued 06/16/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/28/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/04/2017
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/2005
Series 7 - General Securities Representative Examination
BC
Issued 07/16/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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