Stephen Brookman Guy
Investment Adviser Representative at Northeast Planning Associates, Inc.
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Stephen Brookman Guy is an investment adviser representative in Woburn, MA, currently registered with Northeast Planning Associates, Inc. and LPL Financial LLC. They have worked in the securities industry since 1982 and have been registered with 4 firms, including Householder Group Estate & Retirement Specialists and Linsco/private Ledger Corp. They have passed 7 industry qualification exams, including the Series 65 (investment adviser), Series 7 (general securities representative), and Series 24 (general securities principal). They are registered to provide investment advice in Maine and Massachusetts.
Registrations & licenses
- Investment adviser:
- Maine, Massachusetts
- Broker:
13 states and territories
Arizona, Colorado, Connecticut, Florida, Maine, Massachusetts, New Hampshire, New Jersey, New York, North Carolina, South Carolina, Tennessee, Virginia
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- LPL Financial, LLCMar 1992 – no end date reportedWoburn, MA
- Householder Group Estate & Retirement SpecialistsApr 2015 – Mar 2020Woburn, MA
- Northeast Planning Associates, Inc.Aug 2021 – no end date reportedWoburn, NH
- LPL Financial, LLCMay 2020 – no end date reportedWoburn, MA
Official records & sources
Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Northeast Planning Associates, Inc.
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Comprehensive financial planning and interdisciplinary consulting through a family office approach, including custom financial systems, tax strategy planning, legal perspective, and facilitation and administration of cohesive financial systems.
Client types the firm serves
Firm assets under management
$100M–$500M
- Firm disclosures (Form ADV)
- No disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 71
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Bedford, NH
- SEC file number:
- 801-110475
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of May 8, 2026
View full firm profileOther advisors at Northeast Planning Associates, Inc.
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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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