Guy A. Willis
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 Anthony (tony) Willis, who also goes by Guy Tony Willis, was a registered financial professional .
Guy is a previously registered financial professional and started their career in finance in 2002. Guy had worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2013 - December 3, 2019
PROVISE MANAGEMENT GROUP, LLC
August 23, 2011 - November 19, 2014
KESTRA INVESTMENT SERVICES, LLC
May 1, 2002 - December 31, 2010
PROVISE MANAGEMENT GROUP, LLC
Primary Firm SEC Registration
PROVISE MANAGEMENT GROUP, LLC
CRD#: 105375 / SEC#: 801-32172
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
PROVISE MANAGEMENT GROUP, LLC
CRD#: 105375 / SEC#: 801-32172
Contact information
SEC notice filing (22 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,439 |
| AUM (Assets Under Management) | $ 1,804,308,550 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/23/2025 | ||
| 01/16/2025 | ||
| 11/01/2023 | ||
| 12/07/2022 |
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.
