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GC

Guy M. Connors

Some features on this profile are disabled
CRD#: 1008292
GC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Guy Martin Connors was a registered financial professional .

Guy is a previously registered financial professional and started their career in finance in 1981. Guy had worked at 18 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 21, 2020 - January 22, 2020

LPL FINANCIAL LLC

RIA
CRD#: 6413
COLUMBUS, OH
Past

January 21, 2020 - August 2, 2021

STRATOS WEALTH PARTNERS, LTD

RIA
CRD#: 153184
Columbus, OH
Past

January 21, 2020 - August 4, 2021

LPL FINANCIAL LLC

BD
CRD#: 6413
COLUMBUS, OH
Past

September 4, 2018 - January 16, 2019

BROOKSIDE FINANCIAL ADVISORS, LLC

RIA
CRD#: 157304
MIDDLEBURG HEIGHTS, OH
Past

June 9, 2014 - July 2, 2018

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
FAIRLAWN, OH
Past

June 6, 2014 - June 19, 2018

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
FAIRLAWN, OH
Past

December 11, 2012 - June 12, 2014

PNC WEALTH MANAGEMENT LLC

RIA
CRD#: 129052
CUYAHOGA FALLS, OH
Past

December 11, 2012 - June 12, 2014

PNC WEALTH MANAGEMENT LLC

BD
CRD#: 129052
CUYAHOGA FALLS, OH
Past

September 1, 2011 - October 25, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
AKRON, OH
Past

August 19, 2011 - October 25, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
AKRON, OH
Past

January 7, 2009 - October 30, 2009

LPL FINANCIAL LLC

BD
CRD#: 6413
AKRON, OH
Past

July 8, 2005 - December 11, 2006

FORTUNE FINANCIAL SERVICES, INC.

BD
CRD#: 42150
NEW BRIGHTON, PA
Past

November 14, 2003 - December 4, 2003

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
RADNOR, PA
Past

April 25, 2002 - November 14, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

BD
CRD#: 2580
FORT WAYNE, IN
Past

April 25, 2002 - November 15, 2003

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

January 5, 2000 - November 2, 2001

OLD SLIP CAPITAL MANAGEMENT, INC.

BD
CRD#: 7360
NEW YORK, NY
Past

February 17, 1998 - December 31, 1998

OLD SLIP CAPITAL MANAGEMENT, INC.

BD
CRD#: 7360
NEW YORK, NY
Past

October 14, 1994 - December 13, 1996

AMG DISTRIBUTORS, INC.

BD
CRD#: 27314
STAMFORD, CT
Past

November 24, 1992 - May 22, 1995

TOUCHSTONE SECURITIES, INC.

BD
CRD#: 1526
CINCINNATI, OH
Past

January 7, 1987 - November 30, 1991

FUNDMARK INVESTMENT COMPANY SERVICES, INC.

BD
CRD#: 13066
Past

February 16, 1984 - October 2, 1986

EQUITEC SECURITIES COMPANY

BD
CRD#: 6463
Past

August 17, 1982 - October 11, 1983

PRESCOTT, BALL & TURBEN, INC.

BD
CRD#: 7656
Past

September 29, 1981 - August 20, 1982

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LPL FINANCIAL LLC
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/27/2011
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/23/1982
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/19/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1981
General Securities Representative Examination

Current Firm

LPL FINANCIAL LLC
LPL FINANCIAL LLC
LINSCO/PRIVATE LEDGER CORP. | WADDELL & REED INVESTMENTS | WADDELL & REED FINANCIAL ADVISORS | WADDELL & REED | PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED | LPL FINANCIAL LLC | LPL FINANCIAL CORPORATION | LPL FINANCIAL | LPL

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA
Registered Investment Advisory firm - SEC (8/25/1975 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
California since 11/15/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
37,893

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)
LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)
LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)
LPL OMP PROGRAM BROCHURE A12 (10/22/2025)
LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)
LPL PWP PROGRAM BROCHURE A9 (9/30/2025)
LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)
LPL SAM PROGRAM BROCHURE A7 (9/30/2025)
LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)
LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)
LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)
LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)
LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)
LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)
LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)
LPL MWP PROGRAM BROCHURE A11 (9/30/2025)
LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)
LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)
LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)
LPL MS PROGRAM BROCHURE MS302 (9/30/2025)
LPL APP PROGRAM BROCHURE A16 (7/15/2025)
LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)
GUIDED WEALTH PORTFOLIOS (3/31/2025)
BANK WEALTH PROGRAM (3/31/2025)
LPL FIRM BROCHURE A58 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
LPL HOLDINGS, INC.MANAGING MEMBER
AUDETTE, MATTHEW JONPRESIDENT AND CHIEF FINANCIAL OFFICER4003349
ENYEDI, MATTHEW KLAUSMANAGING DIRECTOR, NATIONAL SALES4194266
GATES, GREGORYMANAGING DIRECTOR, CHIEF INFORMATION OFFICER7069201
JAMBUSARIA, ANERIMANAGING DIRECTOR LPL SERVICES GROUP7248335
MALFITANO, STEVEN THOMASSVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER3178848
MCHALE, JAMESEXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER6052977
RICKETTS, JUDITH KOHOSKIEEXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER2758924
SIMONICH, BRENT BLAINEXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER3254859
STEINMEIER, RICHARD CCHIEF EXECUTIVE OFFICER AND DIRECTOR5109512

Regulatory assets under management

Total Number of Accounts2,369,378
AUM (Assets Under Management)$ 618,922,975,737

Disclosures

Regulatory Event208
Arbitration58
Bond4

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/25/2025
Cover Page
Report
07/19/2024
Cover Page
Report
11/09/2023
Cover Page
Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CRD#: 6413

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