James Eugene Guy
Professional Summary
James Eugene Guy, who also goes by Jim Guy, was a registered financial advisor. James was a previously registered financial professional and started their career in finance 1979 - 2013. James had worked at 9 firms and has passed the Series 63, Series 7, Series 1, Series 51 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jim Guy
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
47 years in the financial services industry
Current & Past Employments
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Current Firm
CONTINUITY PARTNERS GROUP, LLC
Contact Information
Main Address
1776 Pleasant Plain Road, Fairfield, IA 52556Established
Iowa since 06/09/2009Firm Type
Limited Liability CompanyFiscal Year End
DecemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ERIC SCHWARTZ REVOCABLE TRUST | SHAREHOLDER | — |
| CONTINUITY MANAGEMENT GROUP, LLC | SHAREHOLDER/HOLDING COMPANY/MANAGING MEMBER | — |
| ANDERSON, THOMAS JOHN | CHIEF COMPLIANCE OFFICER | 2310015 |
| BOYLES, RICHARD CHARLES | CFO, FINOP | 2210763 |
| FERGUSON, MONTE CLARK | DIRECTOR | 2627255 |
| MILLER, SETH AARON | DIRECTOR | 5495508 |
| NELSON, DAVID MICHAEL | DIRECTOR | 2120855 |
| SANSON, GARY CARL | DIRECTOR | 2329819 |
| SCHWARTZ, ERIC | TRUSTEE OF ERIC SCHWARTZ REVOCABLE TRUST | 1203799 |
| SCHWARTZ, ERIC | CEO & DIRECTOR | 1203799 |
| SELBERG, KYLE RUSSELL | SHAREHOLDER | 1037140 |
| SULLIVAN, JAMES DANIEL | DIRECTOR | 700867 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT/DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | DIRECTOR | 1812670 |
| WESTHOELTER, SHANE EDWARD | DIRECTOR | 2341005 |
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Jul 1979Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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