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CG

Cory J. Guy

MIT ASSOCIATES
Tiburon, CA 94920
Some features on this profile are disabled
CRD#: 4707107
CG

Professional summary

Cory James Guy, who also goes by Cory James Guy, is a registered financial professional currently at MIT ASSOCIATES, LLC located in Tiburon, California.

Cory is registered as a RR (Registered Representative) and started their career in finance in 2004. Cory has worked at 8 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cory James 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cory James Guy's CRS (Customer Relationship Summary).
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

October 3, 2024 - Present

MIT ASSOCIATES, LLC

Office #1: 85 Eastview Avenue, Tiburon, CA 94920
BD
CRD#: 121171
Tiburon, CA
Past

June 16, 2022 - August 19, 2024

WEALTHFORGE SECURITIES, LLC

BD
CRD#: 152550
Aliso Viejo, CA
Past

January 7, 2021 - June 15, 2022

EMERSON EQUITY LLC

BD
CRD#: 130032
ALISO VIEJO, CA
Past

January 19, 2017 - December 15, 2020

THIRD SEVEN CAPITAL LLC

BD
CRD#: 160209
Lake Como, NJ
Past

October 7, 2013 - January 3, 2017

ARETE WEALTH MANAGEMENT, LLC

BD
CRD#: 44856
CHICAGO, IL
Past

October 25, 2011 - September 12, 2013

TNP SECURITIES, LLC

BD
CRD#: 149178
COSTA MESA, CA
Past

February 1, 2011 - September 15, 2011

GRUBB & ELLIS CAPITAL CORPORATION

BD
CRD#: 151226
SANTA ANA, CA
Past

February 14, 2004 - August 9, 2011

GRUBB & ELLIS SECURITIES, INC.

BD
CRD#: 17932
SANTA ANA, CA

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Arizona
(10/3/2024)
RR
California
(10/3/2024)
RR
Colorado
(10/3/2024)
RR
Hawaii
(10/3/2024)
RR
Idaho
(10/3/2024)
RR
Montana
(10/3/2024)
RR
Nevada
(10/3/2024)
RR
New Mexico
(10/3/2024)
RR
Oregon
(10/3/2024)
RR
Utah
(10/3/2024)
RR
Washington
(10/3/2024)
RR
Wyoming
(10/3/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 1/6/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/28/2004
General Securities Representative Examination
General Industry/Product Exam
RR
Series 22
Date: 12/22/2003
Direct Participation Programs Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MA
MIT ASSOCIATES, LLC
LIABILITY SOLUTIONS | MIT ASSOCIATES, LLC

CRD#: 121171 / SEC#: , 8-65386

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
85 Eastview Avenue, Tiburon, CA 94920
Mailing Address
Po Box 774, Tiburon, CA 94920
Phone number
(415) 860-3673
Established
California since 04/17/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
MIT HOLDINGS, LLCOWNER OF MIT ASSOCIATES, LLC
FORD, DAVID WRENNCEO, CCO, MANAGING PARTNER1188531
HARLINE, LISA DESAIMANAGING PARTNER6565161
STEWART, SCOTT ALEXANDERFINOP6977422
THORNTON, STEVEN LEEPRINCIPAL4496384

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.

Company Information

MIT ASSOCIATES, LLC

CRD#: 121171Tiburon, CA 94920

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