Herbie D. Vest
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.
Herbie Darwin Vest, who also goes by Herb Vest, was a registered financial professional .
Herbie is a previously registered financial professional and started their career in finance in 1982. Herbie had worked at 7 firms and has passed the Series 65, Series 63, Series 15, Series 5, Series 3, Series 7, Series 27, Series 4, Series 53 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
May 7, 2009 - July 9, 2012
GROVE POINT INVESTMENTS, LLC
October 31, 1988 - March 27, 2009
AVANTAX ADVISORY SERVICES
August 11, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 11, 1988 - February 14, 2000
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 26, 1985 - May 5, 1987
HIMCO DISTRIBUTION SERVICES COMPANY
June 23, 1983 - December 9, 2008
AVANTAX INVESTMENT SERVICES, INC.
April 5, 1982 - October 5, 1983
SLATERY SECURITIES GROUP, 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 15
Date: 9/24/1992
Foreign Currency Options ExaminationSeries 5
Date: 9/24/1992
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
