John W. Guy
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.
John Willis Guy was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 4 firms and has passed the Series 65, Series 63, Series 5, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 8, 2021 - March 15, 2023
WEALTH PLANNING & MANAGEMENT, LLC
April 25, 2000 - December 31, 2020
WEALTH PLANNING & MANAGEMENT, LLC
February 24, 1978 - July 25, 1997
MORGAN STANLEY DW INC.
May 16, 1973 - February 24, 1978
DEAN WITTER & CO. INCORPORATED
January 8, 1970 - May 16, 1973
DEAN WITTER & CO. INCORPORATED
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
Series 5
Date: 12/12/1981
Interest Rate Options ExaminationPC
Date: 2/6/1979
AMEX Put and Call ExamSeries 1
Date: 12/18/1969
Registered Representative ExaminationSeries 8
Date: 6/8/1982
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
WEALTH PLANNING & MANAGEMENT, LLC
CRD#: 112533 / SEC#: 801-60329
Contact information
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 11,000,000 |
Red Flags
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