Cory 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.
Cory Guy, who also goes by Cory James Guy, was a registered financial professional .
Cory is a previously registered financial professional and started their career in finance in 2004. Cory had worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2024 - July 1, 2026
MIT ASSOCIATES, LLC
June 16, 2022 - August 19, 2024
WEALTHFORGE SECURITIES, LLC
January 7, 2021 - June 15, 2022
EMERSON EQUITY LLC
January 19, 2017 - December 15, 2020
THIRD SEVEN CAPITAL LLC
October 7, 2013 - January 3, 2017
ARETE WEALTH MANAGEMENT, LLC
October 25, 2011 - September 12, 2013
TNP SECURITIES, LLC
February 1, 2011 - September 15, 2011
GRUBB & ELLIS CAPITAL CORPORATION
February 14, 2004 - August 9, 2011
GRUBB & ELLIS SECURITIES, INC.
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
MIT ASSOCIATES, LLC
CRD#: 121171 / SEC#: , 8-65386
Contact information
FINRA licenses (51 States and Territories)
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.
