Stephen Brookman Guy

Current Employers

Employment History

• 03/1992 → Present
  Lpl Financial, Llc
  Woburn, MA
• 04/2015 → 03/2020
  Householder Group Estate & Retirement Specialists
  Woburn, MA
• 08/2021 → Present
  Northeast Planning Associates, Inc.
  Woburn, NH
• 05/2020 → Present
  Lpl Financial, Llc
  Woburn, MA

Previous Registrations

• 2015-07-30 → 2020-03-16
  Householder Group Estate & Retirement Specialists
  Woburn, MA

Other Businesses

1. 5/1/2006: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s). 2. 9/12/2008: No Business Name - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 20% Time Spent - Life, Health, Disability, LTC, Fixed Annuities. 3. 3/18/2014: No Business Name - Real Estate Rental - Investment Related - York, Maine - 1% Time Spent - Renting single family summer home. 4. 9/16/2015 - Heritage Wealth Managers, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 04/15/2011 - 10 Hours Per Month/5 Hours During Securities Trading. 5. 10/7/2021 - Northeast Planning Associates - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR - Started 10/06/2021 - 12 Hours Per Month During Securities Trading - I provide financial planning and consulting services through Northeast Planning Associates, an independent investment advisor firm. I started this business activity in 10/2021. I expect to spend approximately 12 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial.

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-05-17
• S63 Uniform Securities Agent State Law Examination
  1981-12-11

Designations