Neal H. Abrams
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.
Neal Harris Abrams was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1981. Neal had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 62, Series 6, Series 5 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
November 14, 2011 - December 31, 2015
GROVE POINT INVESTMENTS, LLC
November 4, 2011 - December 31, 2015
GROVE POINT INVESTMENTS, LLC
November 25, 2005 - December 1, 2011
LPL FINANCIAL LLC
July 1, 2005 - November 23, 2005
WRP INVESTMENTS, INC.
June 3, 2004 - July 18, 2005
LPL FINANCIAL LLC
September 23, 2003 - June 14, 2004
MAIN STREET MANAGEMENT COMPANY
March 25, 2003 - September 26, 2003
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
July 8, 2000 - March 25, 2003
OSAIC FS, INC.
November 25, 1991 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
January 28, 1985 - February 27, 1987
E. F. HUTTON & COMPANY INC
May 16, 1983 - December 7, 1984
PRUDENTIAL EQUITY GROUP, LLC
February 16, 1983 - May 10, 1983
HALPERT AND COMPANY, INC.
March 2, 1982 - August 13, 1982
JANNEY MONTGOMERY SCOTT LLC
August 20, 1981 - June 18, 1982
E. F. HUTTON & COMPANY INC
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 62
Date: 1/20/1992
Corporate Securities Limited Representative ExaminationSeries 5
Date: 10/16/1981
Interest Rate Options ExaminationCurrent Firm
GROVE POINT INVESTMENTS, LLC
CRD#: 1763 / SEC#: 801-undefined, 8-31165
Contact information
FINRA licenses (4 States and Territories)
Disclosures
| Regulatory Event | 17 |
| Arbitration | 3 |
| Bond | 1 |
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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