James E. 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.
James Eugene Guy, who also goes by Jim Guy, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1979. James had worked at 9 firms and has passed the Series 63, Series 7, Series 1, Series 51 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 1, 2010 - April 5, 2013
CONTINUITY PARTNERS GROUP, LLC
April 13, 2007 - April 5, 2013
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
April 20, 1999 - April 5, 2013
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 19, 1992 - April 9, 1999
SUNAMERICA SECURITIES, INC.
September 30, 1991 - November 7, 2007
API FINANCIAL PLANNING SERVICES INC
October 1, 1985 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
October 28, 1983 - October 10, 1985
GROVE POINT INVESTMENTS, LLC
July 23, 1979 - May 19, 1983
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
July 23, 1979 - May 19, 1983
MONY SECURITIES CORPORATION
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 1
Date: 7/10/1979
Registered Representative ExaminationCurrent Firm
CONTINUITY PARTNERS GROUP, LLC
CRD#: 151381 / SEC#: 801-70784, 8-68422
Contact information
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 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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