James K. Newton
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.
James Keith Marshall Newton III, who also goes by James Keith Marshall III Newton, Jimmy Newton, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1981. James had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 and Series 18 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2002 - December 31, 2017
GROVE POINT INVESTMENTS, LLC
January 4, 2002 - December 31, 2017
GROVE POINT INVESTMENTS, LLC
January 27, 2000 - January 8, 2002
MID ATLANTIC INVESTOR SERVICES, INC.
April 5, 1995 - November 16, 1999
MID ATLANTIC INVESTOR SERVICES, INC.
October 20, 1993 - July 19, 1994
BRANCH, CABELL & CO., INC.
December 18, 1981 - June 10, 1986
CARDELL & ASSOCIATES, INCORPORATED
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 18
Date: 11/21/1981
Securities Industry Rules and Regulations 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
