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Detailed Report
JAMES JW GUY III
JAMES J GUY, JIM GUY III
CRD#: 5609109
IA
Investment Adviser
B
Broker
LINCOLN INVESTMENTCRD#: 519 Verona, WI
Registration History
2008201020122014201620182020202220242026IALINCOLN INVESTMENT (CRD# 519)2009 - Present (15 years)BLINCOLN INVESTMENT (CRD# 519)2008 - Present (16 years)IALINCOLN INVESTMENT PLANNING, INC (CRD# 519)2008 - 2008 (<1 year)
License(s)

State Registrations

B
California 2/11/2014
B
North Carolina 1/2/2025
B
Florida 4/13/2021
B
Virginia 8/8/2016
B
Illinois 7/1/2021
B
Washington 11/13/2019
B
Minnesota 6/21/2013
B
Wisconsin 11/10/2008
B
Montana 1/2/2025
IA
Wisconsin 8/31/2016

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LINCOLN INVESTMENT (CRD#:519)
Verona, WI
Registered with this firm since 10/8/2009
B
LINCOLN INVESTMENT (CRD#:519)
Verona, WI
Registered with this firm since 10/31/2008
Previous Registration(s)
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IA
 11/24/2008 - 11/24/2008 LINCOLN INVESTMENT PLANNING, INC (CRD#:519) VERONA, WI
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.