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Stephen Brookman Guy

Investment Adviser Representative at NORTHEAST PLANNING ASSOCIATES, INC.

Woburn, MACRD #1018822Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
44 yrs
States Registered
13 states
Exams Passed
7

Registrations & licenses

Registration type
Dual-registered
Registered in 13 states
ArizonaColoradoConnecticutFloridaMaineMassachusettsNew HampshireNew JerseyNew YorkNorth CarolinaSouth CarolinaTennesseeVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/17/1994
Series 63
Uniform Securities Agent State Law Examination
Passed 12/11/1981
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 1/18/1986
Series 22
Direct Participation Programs Representative Examination
Passed 6/23/1982
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 12/17/1981
Series 24
General Securities Principal Examination
Passed 2/25/1997

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Northeast Planning Associates, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

NORTHEAST PLANNING ASSOCIATES, INC.Current
8/31/2021Woburn, MA
LPL FINANCIAL LLCCurrent
5/13/2020Woburn, MA
LPL FINANCIAL LLCCurrent
3/24/1992York, ME
HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS
7/30/20153/16/2020Woburn, MA
LPL FINANCIAL LLC
1/10/20069/7/2016Woburn, MA
LINSCO/PRIVATE LEDGER CORP.
5/26/199412/31/2005Woburn, MA

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Stephen Brookman Guy has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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