Robert A. Guy

TAX & INVESTMENT ADVISORS

NEWBURYPORT, MA 01950

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CRD#: 1726805

Professional summary

Robert Angus Guy, who also goes by Rob Guy, Robert A Guy, is a registered financial advisor currently at TAX & INVESTMENT ADVISORS located in Newburyport, Massachusetts.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Robert has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rob Guy | Robert A Guy

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.

1.)TIA INSURANCE SERVICES LLC dba TAX & INVESTMENT ADVISORS; YES INVESTMENT RELATED; 253 LOW STREET, SUITE 2-1, NEWBURYPORT, MA 01950; INSURANCE SALES; PRESIDENT; START DATE 12/2020; APPROX 35 HRS/MONTH; APPROX 30 HRS/MONTH DURING TRADING; INSURANCE SALES AND SERVICES. (2) American Financial Education Alliance; No; Newburyport, MA; 501c3 committed to financial education of the public; Chapter President; 01/2022; 2/ hrs mo; 0/ hrs mo (3) Robert Guy, Sole Proprietor; Author; Investment Related; Newburyport, MA; writing financial education books; Author; 03/2020; 5/ hrs mo; 0/ hrs mo during securities trading hours (4) American Financial Education Alliance; Investment Related; Newburyport, MA; Chapter President; Started 01/2022; Approximately 5 hours spent per month; Approximately 0 hours spent during securities trading hours; provide education to the public regarding retirement through talks, whitepapers and calculators. (5) Society of Financial Awareness; Investment Related; Newburyport, MA; Member; Started 01/2024; Approximately 2 hours spent per month; Approximately 0 hours spent during securities trading hours; provide education to the public regarding retirement planning.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Angus Guy's CRS (Customer Relationship Summary).

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

Current

May 22, 2024 - Present

TAX & INVESTMENT ADVISORS

Office #1: 29 Water Street Suite 302, Newburyport, MA 01950

RIA

CRD#: 327402

NEWBURYPORT, MA

Past

September 22, 2022 - December 31, 2024

CREATIVEONE WEALTH, LLC

RIA

CRD#: 281213

Newburyport, MA

Past

August 6, 2019 - August 17, 2022

AE WEALTH MANAGEMENT, LLC

RIA

CRD#: 282580

Newburyport, MA

Past

March 30, 2018 - August 1, 2019

SCF INVESTMENT ADVISORS, INC.

RIA

CRD#: 123608

Newburyport, MA

Past

March 1, 2018 - August 1, 2019

SCF SECURITIES, INC.

CRD#: 47275

NEWBURYPORT, MA

Past

April 17, 2015 - March 27, 2018

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

RIA

CRD#: 169045

MIDDLETON, MA

Past

March 8, 2006 - September 7, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

NEWBURYPORT, MA

Past

April 25, 1996 - March 9, 2018

LPL FINANCIAL LLC

CRD#: 6413

NEWBURYPORT, MA

Past

May 30, 1995 - April 18, 1996

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

KNOXVILLE, TN

Past

August 9, 1993 - March 29, 1995

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, MA

Past

January 11, 1993 - August 12, 1993

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

October 30, 1992 - January 18, 1993

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

June 17, 1992 - November 6, 1992

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 20, 1988 - July 15, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

September 20, 1988 - July 15, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(5/22/2024)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/25/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/4/2002

General Securities Principal Examination

Current Firm

TAX & INVESTMENT ADVISORS

TAX & INVESTMENT ADVISORS | TIA WEALTH MANAGEMENT LLC

CRD#: 327402 / SEC#:

Massachusetts

Registered Investment Advisory firm - (5/22/2024 Approved)

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Contact information

Main Address

29 Water Street Suite 302, Newburyport, MA 01950

Mailing Address

Phone number

(978) 255-1128

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	141
AUM (Assets Under Management)	$ 83,000,000

Red Flags

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

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Advisor Monitoring

Firm Stability Insights

Robert A. Guy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Angus Guy's CRS (Customer Relationship Summary).

Certified licenses

Experience

CREATIVEONE WEALTH, LLC

AE WEALTH MANAGEMENT, LLC

SCF INVESTMENT ADVISORS, INC.

SCF SECURITIES, INC.

HOUSEHOLDER GROUP ESTATE & RETIREMENT SPECIALISTS

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SECURITIES SERVICE NETWORK, LLC

COMMONWEALTH FINANCIAL NETWORK

ROBERT THOMAS SECURITIES, INC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/25/1997

Series 63

Date: 10/5/1988

SIE

Date: 10/1/2018

Series 7

Date: 9/17/1988

Series 24

Date: 11/4/2002

Current Firm

TAX & INVESTMENT ADVISORS

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

TAX & INVESTMENT ADVISORS

TRUST BUT VERIFY

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