Guy N. Adamson
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 Nicholson Adamson was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 1983. Guy had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 17, 2023 - October 20, 2023
LPL FINANCIAL LLC
May 12, 2023 - October 20, 2023
LPL FINANCIAL LLC
August 3, 2010 - May 15, 2023
OSAIC INSTITUTIONS, INC.
July 20, 2010 - May 15, 2023
OSAIC INSTITUTIONS, INC.
January 4, 2010 - July 21, 2010
ALLIED BEACON PARTNERS, INC.
January 2, 2008 - July 21, 2010
CL WEALTH MANAGEMENT LLC
December 3, 2007 - December 23, 2009
COMMUNITY BANKERS SECURITIES, LLC
March 29, 2004 - November 28, 2007
BI INVESTMENTS, LLC
March 29, 2004 - November 28, 2007
BI INVESTMENTS, LLC
August 29, 2002 - March 11, 2004
BB&T INVESTMENT SERVICES, INC.
July 14, 1998 - March 11, 2004
BB&T INVESTMENT SERVICES, INC.
April 22, 1993 - June 24, 1998
CRESTAR SECURITIES CORPORATION
April 6, 1992 - April 26, 1993
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1992 - April 6, 1992
BANC OF AMERICA SECURITIES LLC
July 19, 1991 - January 1, 1992
SOVRAN INVESTMENT CORPORATION
February 4, 1988 - June 6, 1991
BOWLES HOLLOWELL CONNER & CO.
April 3, 1986 - January 28, 1988
EXCHANGE SERVICES, INC.
August 23, 1983 - March 30, 1984
BRANCH, CABELL & CO., INC.
February 24, 1983 - July 8, 1983
ANDERSON & STRUDWICK, INCORPORATED
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
