Stephen Guy has been an investment adviser representative at Northeast Planning Associates since August 2021, and is not listed among the firm’s executive officers or direct owners.
Northeast Planning Associates, Inc. is a Bedford, NH firm with $414M under management, 959 clients and 69 advisers across 36 offices, as of its May 2026 filing.
Stephen Guy is a financial planning and investment professional with Heritage Wealth Managers, his wealth planning firm, which offers financial planning through Northeast Planning Associates, Inc. He has more than 40 years of experience working with individuals, families and small businesses and builds comprehensive financial plans based on clients' personal definitions of wealth and financial independence.
Stephen Guy’s longest registration is the current one, 34 years at LPL Financial LLC since 1992. Before joining Northeast Planning Associates in 2021, Stephen Guy was registered through Householder Group Estate & Retirement Specialists and Linsco/Private Ledger Corp.
- – present · 5 yearsWoburn, MA · Adviser representative · Firm CRD 131406
- Householder Group Estate & Retirement Specialists– · 4 yearsWoburn, MA · Adviser representative · Firm CRD 169045
- Linsco/Private Ledger Corp.– · 11 yearsWoburn, MA · Adviser representative · Firm CRD 6413
- LPL Financial LLCAlso current– present · 34 yearsAdviser representative and broker · Firm CRD 6413
Professional designations
Listed by Northeast Planning Associates
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
- Certified Kingdom Advisor (CKA®)
Investment adviser representative registrations
Stephen Guy is registered as an investment adviser representative in 2 states. The first approvals date from May 2020; the most recent is Maine, in January 2026.
- MaineSince 27 January 2026
- MassachusettsSince 13 May 2020
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 25 February 1997 |
| Series 65 | Uniform Investment Adviser Law Examination | 17 May 1994 |
| Series 7 | General Securities Representative Examination | 18 January 1986 |
| Series 22 | Direct Participation Programs Representative Examination | 23 June 1982 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 17 December 1981 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 December 1981 |
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Direct Participation Programs Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Stephen Brookman Guy
- CRD
- 1018822
- Firm
- Northeast Planning Associates · CRD 131406
- Office
- 3 BALDWIN GREEN COMMON, SUITE 302, Woburn, MA 01801
- Registration
- Investment adviser and broker registrations
- In the industry since
- January 1982
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- heritagewealthmanagers.com
Where does Stephen Guy work?
Stephen Guy is an investment adviser representative registered through Northeast Planning Associates, Inc. since August 2021, and is not listed among the firm’s executive officers or direct owners.
Is Stephen Guy a financial advisor?
Yes. Stephen Guy has a current investment-adviser registration in Maine and Massachusetts, through Northeast Planning Associates since August 2021.
How many years of experience does Stephen Guy have?
Stephen Guy has 44 years in the financial industry, since January 1982, across 3 adviser firms.
What exams has Stephen Guy passed?
Stephen Guy has passed 6 licensing exams: the Series 63, Series 6, Series 22, Series 7, Series 65 and Series 24. The earliest, the Series 63, was passed in December 1981. FINRA credited Stephen Guy with the SIE, which began in October 2018.
Where did Stephen Guy work before Northeast Planning Associates?
Before Northeast Planning Associates, Stephen Guy was registered through Householder Group Estate & Retirement Specialists, July 2015 to March 2020; Linsco/Private Ledger Corp., May 1994 to December 2005.
Where is Stephen Guy based?
Stephen Guy’s registered office is in Woburn, MA.
Is Stephen Guy registered with FINRA?
Yes. Stephen Guy has a current broker registration, under CRD 1018822.
Source: FINRA BrokerCheck
Is Stephen Guy a CFP?
Northeast Planning Associates lists Stephen Guy with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
How can I verify Stephen Guy’s record?
Search CRD 1018822 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Stephen Guy’s full registration record.
