Guy James Abbanat
Professional Summary
Guy James Abbanat, who also goes by Guy Abanata, Guy Abbanat, Guy Albanata, is a registered financial advisor currently at WORLD EQUITY GROUP, INC. located in Buffalo Grove , Illinois. Guy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Guy has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 10 and Series 9...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Guy Abanata, Guy Abbanat, Guy Albanata
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
43 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
Contact Information
Main Address
425 N Martingale Road Suite 1220, Schaumburg, IL 60173Mailing Address
425 N Martingale Road Suite 1200, Schaumburg, IL 60173Phone Number
(847) 342-1700Established
Illinois since 09/13/1991Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
165SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
2,999AUM (Assets Under Management)
$1,001,368,180Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
COMPASS ASSET MANAGEMENT | WORLD EQUITY GROUP, INC. | UNITED FINANCIAL GROUP INC. | PRAXIS WEALTH MANAGEMENT | MIDWAY WEALTH PARTNERS | MARTIN JAMES INVESTMENT & TAX MANAGEMENT LLC | INFINITY WEALTH MANAGEMENT, LLC | FOUR POINTS ADVISORY
State Registrations and Notice Filings
(10/13/2026)
(10/14/2026)
(10/18/2016)
(6/1/2011)
(7/1/2011)
(11/2/2012)
(7/15/2025)
(7/16/2025)
(6/2/2011)
(10/2/2012)
(1/4/2024)
(9/18/2013)
(3/1/2022)
(6/1/2011)
(1/4/2024)
(1/10/2024)
(6/2/2011)
(10/5/2012)
Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Mar 2003About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Feb 2003About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Guy James Abbanat's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Guy James Abbanat's CRS (Customer Relationship Summary).
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