Robert Guy has been Managing Member/Chief Compliance Officer of TIA Wealth Management since January 2024, is a control person of the firm and directly owns 75% or more of it. Robert Guy holds a Bachelor of Business Administration in Finance from the University of Massachusetts.
Tia Wealth Management LLC is a Newburyport, MA firm with $102M under management, 346 clients and 1 adviser in one office, as of its May 2026 filing.
Robert Guy is Principal Executive Officer of TIA Wealth Management LLC, based in Newburyport, Massachusetts. He is the firm's sole owner and its Chief Compliance Officer. Earlier roles include Investment Advisor Representative at Creative One Wealth, LLC and AE Wealth Management, LLC, and Registered Representative and Investment Advisor Representative at LPL Financial LLC.
Robert Guy’s longest registration was 10 years at LPL Financial LLC (2006–2016). Before joining TIA Wealth Management in 2024, Robert Guy was registered through Creativeone Wealth, LLC and Ae Wealth Management, LLC.
- Tax & Investment AdvisorsCurrent– present · 2 yearsNewburyport, MA · Adviser representative · Firm CRD 327402
- Creativeone Wealth, LLC– · 2 yearsNewburyport, MA · Adviser representative · Firm CRD 281213
- Ae Wealth Management, LLC– · 3 yearsNewburyport, MA · Adviser representative · Firm CRD 282580
- SCF Investment Advisors, Inc.– · 1 yearNewburyport, MA · Adviser representative · Firm CRD 123608
- Householder Group Estate & Retirement Specialists– · 2 yearsMiddleton, MA · Adviser representative · Firm CRD 169045
- LPL Financial LLC– · 10 yearsNewburyport, MA · Adviser representative · Firm CRD 6413
Professional designations
Listed by TIA Wealth Management
- Retirement Income Certified Professional (RICP®)
Investment adviser representative registrations
Robert Guy is registered as an investment adviser representative in 2 states. The first approvals date from May 2024; the most recent is New Hampshire, in February 2026.
- MassachusettsSince 22 May 2024
- New HampshireSince 24 February 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | 8 October 2026 |
| Series 24 | General Securities Principal Examination | 4 November 2002 |
| Series 65 | Uniform Investment Adviser Law Examination | 25 June 1997 |
| Series 63 | Uniform Securities Agent State Law Examination | 5 October 1988 |
| Series 7 | General Securities Representative Examination | 17 September 1988 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Robert Angus Guy
- CRD
- 1726805
- Firm
- TIA Wealth Management · CRD 327402
- Role
- Managing Member/Chief Compliance Officer
- Office
- 29 WATER STREET, SUITE 302, Newburyport, MA 01950
- Registration
- Investment adviser registration
- In the industry since
- January 1989
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- taxandinvestments.com
Where does Robert Guy work?
Robert Guy has been Managing Member/Chief Compliance Officer of Tia Wealth Management LLC since January 2024, and is a control person of the firm.
Is Robert Guy a financial advisor?
Yes. Robert Guy has a current investment-adviser registration in Massachusetts and New Hampshire, through TIA Wealth Management since May 2024.
How many years of experience does Robert Guy have?
Robert Guy has 37 years in the financial industry, since January 1989, across 6 adviser firms.
What exams has Robert Guy passed?
Robert Guy has passed 5 licensing exams: the Series 7, Series 63, Series 65, Series 24 and SIE. The earliest, the Series 7, was passed in September 1988.
Where did Robert Guy work before TIA Wealth Management?
Before TIA Wealth Management, Robert Guy was registered through Ae Wealth Management, LLC, August 2019 to August 2022; SCF Investment Advisors, Inc., March 2018 to August 2019; Householder Group Estate & Retirement Specialists, April 2015 to March 2018; LPL Financial LLC, March 2006 to September 2016.
Where is Robert Guy based?
Robert Guy’s registered office is in Newburyport, MA.
Is Robert Guy registered with FINRA?
No. Robert Guy has no current broker registration.
How can I verify Robert Guy’s record?
Search CRD 1726805 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Robert Guy’s full registration record.